CFO / FinOp (Series 27)

Lead financial & regulatory oversight for a broker-dealer Key role interfacing with FINRA & external auditors About Our Client European broker-dealer and RIA based in Miami. Job Description Serve as the designated Financial and Operations Principal (FinOp) Oversee all broker‑dealer financial reporting, including FOCUS filings Ensure compliance with SEC, FINRA, and applicable regulatory standards Manage net capital calculations and liquidity requirements Lead annual audits and act as primary liaison with external auditors Implement and maintain internal controls, policies, and procedures Oversee general ledger, financial statements, and budgeting process Provide strategic financial insights to executive leadership Coordinate regulatory examinations and inquiries Supervise finance and accounting team members The Successful Applicant Qualifications Active Series 27 (FINOP) license required 8+ years of experience within a broker‑dealer environment Prior CFO or senior finance leadership experience strongly preferred Deep knowledge of SEC and FINRA regulations (e.g., Rule 15c3-1, 15c3-3) Experience with FOCUS reporting and net capital calculations Strong leadership and team management skills Detail‑oriented with a strong control and compliance mindset Excellent communication skills, both internal and external Preferred Background Experience in a growing or mid‑sized broker‑dealer Exposure to introducing broker, clearing, or proprietary trading models CPA designation is a plus What's on Offer Competitive annual salary ranging from $180,000 to $220,000 USD. #J-18808-Ljbffr Page Executive