Chief Financial Officer (CFO)
Chief Financial Officer (CFO)
About the Company
European broker-dealer and RIA based in Miami.
Industry
Financial Services
Type
Privately Held
About the Role
The Company is seeking a Chief Financial Officer (CFO) to lead its financial and regulatory oversight for a broker-dealer. The successful candidate will serve as the designated Financial and Operations Principal (FinOp), overseeing all broker-dealer financial reporting, ensuring compliance with SEC, FINRA, and other regulatory standards, and managing net capital calculations and liquidity requirements. This key role also involves leading annual audits, implementing and maintaining internal controls, and providing strategic financial insights to executive leadership. The CFO will be the primary liaison with external auditors, coordinate regulatory examinations, and supervise the finance and accounting team. Applicants for the CFO position at the company must have an active Series 27 (FINOP) license and a minimum of 8 years' experience in a broker-dealer environment. Deep knowledge of SEC and FINRA regulations, particularly Rule 15c3-1 and 15c3-3, is essential. The role requires a candidate with strong leadership and team management skills, a detail-oriented and compliance-focused mindset, and excellent communication abilities. Prior experience as a CFO or in a senior finance leadership role is strongly preferred. A CPA designation is a plus, and experience in a growing or mid-sized broker-dealer, as well as exposure to different trading models, is also desirable.
Travel Percent
Less than 10%
Functions
- Finance
Additional Information
- City
- Miami
- State
- FL
- Zip
- 33101
- Country
- United States
- Job Type
- Finance
- Mobile Friendly Apply
- No
- Html Jobs
- Yes
- Url
- https://click.appcast.io/t/nUJPDHhBGYwUrIT8BhSlbopOClc00mc9EpnWID_fk4T1eBmjMS5ycKCEKyRgmvXE2uzaqwGKy8BM76ECewsx3A==
- Cpc
- 0.22