CFO / FinOp (Series 27)

Client seeking a Chief Financial Officer (CFO) with Series 27 (FinOp) designation to lead its financial operations and regulatory reporting function. This individual will play a critical role in ensuring compliance with SEC and FINRA requirements while providing strategic financial leadership to the business.

This is a high-impact position suited for a hands‑on leader with deep broker‑dealer expertise and experience navigating complex regulatory environments.

European broker‑dealer and RIA based in Miami.

Description

• Serve as the designated Financial and Operations Principal (FinOp)
• Oversee all broker‑dealer financial reporting, including FOCUS filings
• Ensure compliance with SEC, FINRA, and applicable regulatory standards
• Manage net capital calculations and liquidity requirements
• Lead annual audits and act as primary liaison with external auditors
• Implement and maintain internal controls, policies, and procedures
• Oversee general ledger, financial statements, and budgeting process
• Provide strategic financial insights to executive leadership
• Coordinate regulatory examinations and inquiries
• Supervise finance and accounting team members

Profile

Qualifications

• Active Series 27 (FINOP) license required
• 8+ years of experience within a broker‑dealer environment
• Prior CFO or senior finance leadership experience strongly preferred
• Deep knowledge of SEC and FINRA regulations (e.g., Rule 15c3-1, 15c3-3)
• Experience with FOCUS reporting and net capital calculations
• Strong leadership and team management skills
• Detail‑oriented with a strong control and compliance mindset
• Excellent communication skills, both internal and external

Preferred Background

• Experience in a growing or mid‑sized broker‑dealer
• Exposure to introducing broker, clearing, or proprietary trading models
• CPA designation is a plus

Job Offer

• Competitive annual salary ranging from $180,000 to $220,000 USD.

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