CFO / FinOp (Series 27)

Page Executive; Miami (FL); On-site; Confidential; Full time

Job summary

Page Executive is seeking a Financial and Operations Principal (FinOp) in Miami to oversee all broker-dealer financial reporting and ensure compliance with SEC and FINRA regulations.

The ideal candidate will have over 8 years of experience in a broker-dealer environment, with a strong background in financial reporting and leadership skills. The role offers a competitive annual salary ranging from $180,000 to $220,000.

Qualifications

• 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.

Responsibilities

• Serve as the designated Financial and Operations Principal (FinOp).
• Oversee broker-dealer financial reporting and compliance.
• Manage net capital calculations and liquidity requirements.

Skills

Leadership

Compliance

Financial reporting

SEC regulations knowledge

Communication

Education

Active Series 27 (FINOP) license

CPA designation (preferred)

Job description

• 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.