CFO / FinOp (Series 27)

• Lead financial regulatory oversight for a broker-dealer
• Serve as primary contact for regulatory examinations

About Our Client

Broker-dealer and RIA.

Job Description

Regulatory & Financial Oversight

• Maintain ongoing compliance with applicable financial responsibility regulations and industry requirements.
• Prepare, review, and submit regulatory filings and financial reports within required deadlines.
• Monitor capital adequacy, liquidity levels, and related financial metrics, escalating issues when appropriate.
• Oversee customer asset protection controls and ensure adherence to regulatory safeguarding requirements.
• Act as the primary liaison during regulatory examinations and inquiries.

• Manage the firm's general ledger, financial statements, accounting records, and reporting processes.
• Oversee daily financial operations, reconciliations, exception management, and cash controls.
• Review transaction activity to ensure accuracy and compliance with internal procedures.
• Coordinate expense management, invoicing processes, and financial governance initiatives.
• Support tax reporting and other statutory filing requirements.

• Establish and maintain a strong internal control environment across finance and operations.
• Partner with external auditors on annual audits and regulatory reviews.
• Monitor third-party service providers, clearing relationships, and outsourced operational functions.
• Identify operational risks and implement process improvements to strengthen controls and efficiency.
• Develop and maintain policies, procedures, and supervisory frameworks supporting regulatory compliance.

• Collaborate with senior management, compliance, legal, and operations teams on strategic initiatives.
• Provide guidance and oversight to finance and operations personnel.
• Support business growth while maintaining a robust control and compliance environment.
• Communicate effectively with regulators, auditors, and internal stakeholders on financial and operational matters.

The Successful Applicant

• Bachelor's degree in Finance, Accounting, Business Administration, or a related discipline.
• Prior experience serving as a designated FINOP within a regulated broker-dealer environment.
• Active FINRA Series 27 or Series 28 licence required.
• Strong knowledge of broker-dealer financial responsibility regulations, capital requirements, and regulatory reporting.
• Experience preparing regulatory filings, financial statements, and audit documentation.
• Solid understanding of accounting principles, reconciliations, and operational controls.
• Previous experience managing finance and operations teams.
• Familiarity with brokerage, wealth management, or private banking environments.
• Experience interacting directly with regulators and external auditors.
• Bilingual English and Spanish communication skills preferred.
• Strong analytical skills, attention to detail, and ability to operate effectively in a highly regulated environment.

• Broker-dealer finance and operations leadership
• Regulatory reporting and capital management
• Wealth management or private banking operations
• Audit, risk management, and control frameworks
• Third-party oversight and vendor governance

What’s on Offer

• $180,000 - $250,000 base salary.

Contact

Lauren VanManen

Quote job ref

JN-052026-7028821