Strategic CFO & Broker-Dealer Compliance Leader

Selby Jennings; New York (NY); On-site; USD 150,000 - 200,000; Full time

Job summary

A specialized broker-dealer is seeking a talented professional to lead end-to-end brokerage operations, reporting directly to the CEO. This high-visibility role requires a strong background in finance and extensive experience in regulatory compliance, financial reporting, and operational management. The ideal candidate should possess at least a bachelor's degree in accounting or finance, have a FINRA Series 27 license, and bring a minimum of 10 years of experience in similar roles. Join a dynamic environment where you can make a meaningful impact.

Qualifications

• Bachelor's degree in accounting or finance required; advanced degree and CPA designation strongly preferred.
• FINRA Series 27 license required.
• Minimum 10 years of experience in Operations or Finance as a FINOP or similar role.

Responsibilities

• Partner with the CEO to manage daily operations and implement strategic recommendations.
• Prepare financial statements in compliance with GAAP and regulatory requirements.
• Oversee tax planning and compliance under SEC rules.

Skills

Financial reporting

Regulatory compliance

Operations management

Tax planning

Education

Bachelor's degree in accounting or finance

Advanced degree and CPA designation

Tools

GAAP standards

SEC regulations

Job description

A specialized broker-dealer is seeking a talented professional to lead end-to-end brokerage operations, reporting directly to the CEO. This high-visibility role requires a strong background in finance and extensive experience in regulatory compliance, financial reporting, and operational management. The ideal candidate should possess at least a bachelor's degree in accounting or finance, have a FINRA Series 27 license, and bring a minimum of 10 years of experience in similar roles. Join a dynamic environment where you can make a meaningful impact.