Strategic CFO & Broker-Dealer Compliance Leader
Selby Jennings
A specialized broker-dealer is seeking a talented professional to lead end-to-end brokerage operations, reporting directly to the CEO. This high-visibility role requires a strong background in finance and extensive experience in regulatory compliance, financial reporting, and operational management. The ideal candidate should possess at least a bachelor's degree in accounting or finance, have a FINRA Series 27 license, and bring a minimum of 10 years of experience in similar roles. Join a dynamic environment where you can make a meaningful impact. #J-18808-Ljbffr
- ...New York Self Clearing Broker-Dealer is seeking a Chief Financial Officer (CFO) to lead its financial... ...and ensuring regulatory compliance. The CFO will supervise... ...CFO or senior finance leader, preferably in a broker... ...leadership, communication, and strategic planning skills. Must...Suggested
- ..., is seeking a Chief Financial Officer (CFO) to lead financial operations and strategy... ..., budgeting, ensuring regulatory compliance, and supervising finance departments’ work... ...candidate has proven experience as a CFO in a broker-dealer environment and a strong understanding...Suggested
$140k - $150k
...A New York nonprofit organization is seeking a Chief Financial Officer (CFO) to oversee financial operations, including fiscal systems, cash flow management, and compliance functions. This role requires strong leadership skills, a deep understanding of GAAP, and experience...SuggestedRemote work$155k - $165k
...NRG Consulting Group seeks a Chief Financial Officer (CFO) to oversee finance, compliance, and administrative management. This role, reporting to the CEO, aims to drive best practices within a mission-focused organization. The ideal candidate will have at least 10 years...SuggestedFull time- ACG Texas, based in New York, is seeking an experienced Chief Compliance Officer. The ideal candidate will have a minimum of five years in a senior compliance role within a Self-Clearing Broker Dealer and extensive knowledge of regulatory requirements and compliance management...Suggested
- ...The Juilliard School, based in New York City, is seeking a Chief Financial Officer (CFO) to provide strategic financial leadership. The CFO will oversee financial planning, budgeting, and risk management, supporting the school’s ambitious goal of offering full tuition...
- ...of financial management at a bank. The CFO will manage financial reporting, regulatory... ..., and internal controls, ensuring compliance with OCC regulations. The ideal candidate... ...budget management, audit coordination, and strategic financial planning. #J-18808-Ljbffr
$200k - $225k
...Head Of Broker Dealer Compliance DriveWealth is on a mission to make investing easier. We believe... ...and seasoned Broker Dealer Compliance leader in either our New York or Chicago office... ...guidance for Level 1 procedures. Strategic Partnership: Proactively partner with...Full timeWork at officeWorldwide- ...Anderson Kill seeks a Chief Financial Officer (CFO) located in New York, NY. The CFO will oversee the firm’s financial performance, leading budgeting, billing, collections, and strategic financial assessment. Candidates should have a CPA (preferred) and 5-10 years of finance...
- ...AB Hires and Consulting LLC, based in New York, is seeking a strategic Chief Financial Officer (CFO) with a strong background in tax compliance, financial reporting, and risk management. This role involves overseeing financial operations, managing external auditors, and...
$156.17k - $192.61k
...technology evolves. AI experience requirements vary by role and are assessed during the interview process. Role Overview The Compliance Lead, Broker‑Dealer & Investment Adviser is a senior member of Gusto’s Retirement Compliance Team, reporting directly to the Head of...Full timeLocal area- ...experience in Operations/Finance as a FINOP at a self-clearing broker-dealer, and strong analytical skills. Key responsibilities include managing financial reporting, regulatory compliance, and strategic recommendations. An advanced degree and CPA are preferred. #J-18...
$87k - $195k
...an exciting opportunity to join our team. Stout's Accounting & Reporting Advisory practice is expanding its Strategic Finance & FP&A team within the CFO Services group. The Vice President title is equivalent to a Manager-level role, typically requiring 8+ years of...Interim roleWork at officeLocal areaFlexible hours- ...Chief Financial Officer CPA to lead financial functions and drive strategic initiatives within a mission-driven Federally Qualified Health Center. The CFO will play a crucial role in ensuring compliance and operational excellence while fostering a high-performing team....
- ...Job Description Job Description Self-Clearing Broker Dealer seeks experienced Chief Compliance Officer with a minimum of 5 years of experience working for a Self-Clearing Broker Dealer in the role of Chief Compliance Officer who has worked at a Self-Clearing Broker...
- ...management activities. Responsibilities include supervision of financial operations, directing budgetary processes, and ensuring compliance with financial regulations. The ideal candidate will possess a bachelor’s degree in finance or accounting, along with significant...Full time
$103.36k - $215k
...The City of New York is seeking a Chief Financial Officer (CFO) to manage the Finance & Procurement Division. You will oversee the agency's budget, lead budget planning efforts, and implement financial functions. Preferred candidates should have ten years of finance...- ...requires senior finance leadership experience and the ability to build disciplined financial operations. The ideal candidate is a strategic thinker who can bring clarity to complex environments. This high-impact role offers direct influence on the organization's growth...
- The NYC Department of Design and Construction is seeking a Chief Financial Officer to manage budgets and financial functions, improving capital project delivery. Responsibilities include directing budget planning, overseeing accounts payable, and implementing cost-saving...
$220k
6AM City, LLC is seeking a Chief Financial Officer for a direct hire opportunity in the Melville, NY area. This role offers a competitive salary of up to $220K for the right candidate. The ideal candidate should have a Bachelor's degree in Accounting or Finance and a minimum...Work at office- A nonprofit organization in NYC is seeking a Financial Manager responsible for overseeing financial operations, ensuring accurate financial reporting, and managing the Accounting Department. The ideal candidate should hold a Master’s degree in Business Administration, ...
$200k - $266k
...New Visions for Public Schools is seeking a Chief Financial Officer (CFO) to lead the financial operations and office administration. This role involves collaborating across teams to enhance productivity, overseeing the annual budget, and providing leadership for financial...Work at office- ...provider of Electronic Healthcare Records (EHR) software, is seeking a Chief Finance Officer (CFO) in New York, NY. The CFO will lead financial strategy and operations, ensuring compliance with regulations and optimizing financial performance. The ideal candidate must hold a...
- ...FINOP / Broker-Dealer Regulatory Reporting Consultant Our client is seeking a FINOP / Broker-Dealer Regulatory Reporting Consultant... ...environment Prepare, review, and/or sign FOCUS reports Support compliance with SEC Rule 15c3-3 and related broker-dealer regulations...Permanent employment
- ...at Lincoln Hospital. The role involves supervising finance departments, developing financial strategies, and ensuring regulatory compliance. The ideal candidate will have a Master's degree in a relevant field and extensive experience in financial roles within healthcare...
$200k - $225k
...The United Nations Federal Credit Union seeks a Senior second-line risk leader in New York City. This hybrid position requires overseeing financial and strategic risks, ensuring alignment with business objectives, and translating complex risk exposures into actionable...- ...Job Title: Senior Regulatory Project Manager- Broker Dealer compliance (SEC Rule 15c3-3) Job Location: New York, New York Job Type: Contract W-2 Experience: 10 Years + A global bank is seeking a Regulatory Project Manager. The Regulatory Project Manager will...Contract workWork at office
$70.6k - $139.8k
...tremendously. We are looking for future leaders, which means a partner career path or... ...Senior Associates with experience in the Broker Dealer industry vertical. As an Audit... ...and with integrity at all times. In compliance with federal law, all persons hired will...Local areaWorldwideHome office- ...including a minimum of 5 years in a leadership role. Responsibilities include budgeting, forecasting, and providing essential financial leadership. This full-time role requires an individual with a strategic mindset and experience in a global environment. #J-18808-Ljbffr...Full time
$225k - $250k
...in New York is seeking a Deputy Chief Financial Officer (Deputy CFO) to contribute to financial leadership and strategy. The ideal candidate... ...in nonprofit finance, data-informed decision-making, and strategic thinking. Responsibilities include collaborating with the CFO on...
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