Chief Financial Officer (Chicago)

Halo Investing is a fast-growing financial technology company with a mission to empower investors by providing access to a wide range of protective investment solutions. Our platform offers a marketplace for structured notes, SMAs, defined outcome ETFs, insurance, and annuities, connecting financial advisors and investors to a previously inaccessible market. We are committed to transparency, competition, and efficiency, and we are looking for a visionary CFO to help us navigate our next phase of growth.

CFO Position Overview

We are seeking a dynamic and experienced Chief Financial Officer (CFO) to join our executive team. This is a Chicago-based (hybrid) role responsible for directing all financial aspects of the company, driving financial strategy, and ensuring the company's long-term financial health. The ideal candidate will be a strategic thinker with a strong background in leading finance and accounting, preferably within a regulated broker-dealer environment in the fintech industry. As a senior leader, you will work closely with the CEO and other executives to make data-driven decisions that will shape the future of Halo Investing.

Key Responsibilities

Financial Strategy & Leadership

• Provide strategic and operational leadership, serving as a key financial advisor to the CEO and executive team on strategic planning, financial planning, and investment priorities.
• Develop and implement financial strategies aligned with company objectives to maximize profits and plan for growth.
• Provide strategic recommendations based on financial analysis, market trends, and business insights.

Regulatory Compliance & Broker-Dealer Operations

• Oversee all financial operations related to our broker-dealer, including regulatory reporting (FOCUS reports), net capital computations, and compliance.
• Ensure adherence to all FINRA and SEC financial regulations and requirements.
• Liaise with auditors and regulators on all broker-dealer financial matters.

Financial Planning, Analysis & Operations

• Lead the annual budgeting, financial forecasting, and long-range planning processes for the firm.
• Provide in-depth financial analysis to identify key business drivers, trends, and opportunities for performance improvement.
• Direct all accounting operations, ensuring timely and accurate preparation of financial statements in compliance with GAAP or IFRS.
• Lead, manage, and mentor the team, fostering a culture of high performance, accountability, and continuous improvement.

Investor Relations

• Oversee investor relations and communication, ensuring timely and accurate reporting to all stakeholders.

Qualifications

• Bachelor's degree in Finance, Accounting, or a related field; CPA and/or MBA strongly preferred.
• 10+ years of progressive experience in senior finance leadership roles within a regulated financial services firm, including proven experience as a CFO, VP of Finance, FinOps or similar role.
• Deep knowledge of broker-dealer operations, financial reporting, and regulations; FINRA Series 27 license required, Series 24 highly preferred.
• Exceptional leadership, communication, and interpersonal skills, with the ability to serve as a key partner on an executive team.