Chief Financial Officer-Self Clearing Broker Dealer

New York Self Clearing Broker-Dealer is seeking a Chief Financial Officer (CFO) to lead its financial operations and strategy. The CFO will be responsible for financial planning, budgeting, regulatory compliance, and will supervise and review all finance department work to ensure accuracy. This role also involves collaborating with senior management.

Key Responsibilities

• Financial Strategy: Develop and implement financial strategies to support the organization's growth.
• Financial Planning & Analysis: Oversee budgeting, forecasting, and financial analysis.
• Regulatory Compliance: Ensure adherence to financial regulations, including FINRA and SEC requirements.
• Accounting and Reporting: Manage financial reporting, accounting, and audit processes.
• Leadership & Collaboration: Lead the finance team, work with senior management, and interact with the board of directors.

Qualifications

• Proven experience as a CFO or senior finance leader, preferably in a broker‑dealer or similar financial services environment.
• Strong financial acumen, including financial modeling, budgeting, and forecasting.
• Deep knowledge of broker‑dealer regulations and compliance.
• Excellent leadership, communication, and strategic planning skills.
• Must have experience in preparing 15c3‑3 and 15c3‑1 reporting.
• Strong understanding of and experience in US GAAP financial reporting; Series 27 required.
• CPA is a plus.
• A bachelor's degree in finance, accounting, or a related field.

Additional Responsibilities

The Self Clearing Broker Dealer Controller is responsible for overseeing the accounting and financial and regulatory reporting for the Company, providing leadership and coordination of the Broker Dealer network.

Processing and filing Focus Reports, managing Broker Dealer Accounting, Internal Control over Financial Reporting, and other stakeholders. Ensuring the company's accounting procedures conform to generally accepted accounting principles.

Prepares internal and external financial reports for regulators for Self Clearing Broker Dealer. Works with Executive team to summarize, plan, and forecast the organization's financial position, including income statements, balance sheets, and analyses of future revenues, expenses and earnings.

Works with individual broker dealer accounting manager, Technical Accounting and Reporting, Regulatory and Reporting groups, and Valuation Review. Working with legal and compliance for contingent losses.

Prepare various regulatory filings for FINRA, SEC & other SROs as necessary. Monthly accounting responsibility for certain balance sheet and P/L accounts.