Chief Financial Officer (CFO)

Chief Financial Officer (CFO)

About the Company

Broker-dealer and RIA.

Industry
Financial Services

Type
Privately Held

About the Role

The Company is seeking a Chief Financial Officer (CFO) to lead its financial regulatory oversight and serve as the primary contact for regulatory examinations. The successful candidate will be responsible for maintaining ongoing compliance with financial responsibility regulations, preparing and submitting regulatory filings and financial reports, and monitoring capital adequacy and liquidity levels. Additionally, the CFO will oversee customer asset protection controls, manage the firm's general ledger and financial operations, and establish a strong internal control environment. Leadership and stakeholder management are also key aspects of the role, as the CFO will be expected to collaborate with senior management, provide guidance to finance and operations personnel, and communicate effectively with regulators and auditors. Applicants for the CFO position at the company should have a Bachelor's degree in a relevant field and prior experience as a designated FINOP within a regulated broker-dealer environment. An active FINRA Series 27 or Series 28 license is required, along with a strong knowledge of broker-dealer financial responsibility regulations and capital requirements. The ideal candidate will have experience in regulatory reporting, financial statement preparation, and a solid understanding of accounting principles and operational controls. Familiarity with brokerage, wealth management, or private banking environments is preferred, as is bilingual English and Spanish communication skills. The role demands a professional with strong analytical skills, attention to detail, and the ability to operate effectively in a highly regulated environment.

Functions

• Finance