Chief Financial Officer-Self Clearing Broker Dealer
$275,000–$325,000 year
On-site · New York City, New York, United States
Job Summary
Chief Financial Officer for a self-clearing broker-dealer overseeing financial operations and strategy. Responsible for financial planning, budgeting, forecasting, and ensuring regulatory compliance (FINRA and SEC). Oversees accounting, reporting, and audit processes; leads the finance team; collaborates with senior management and the board. Requires experience as a CFO or senior finance leader in a broker-dealer or similar financial services environment, strong financial modeling and budgeting skills, deep broker-dealer regulatory knowledge, and fluency in US GAAP reporting. Must have Series 27; CPA is a plus. Oversees monthly accounting for balance sheet and P/L, regulatory filings for FINRA/SEC/SROs, and coordination with legal/compliance for contingent losses.
Required Qualifications
- Bachelor's degree in finance, accounting, or a related field
- Series 27 is required
- Proven experience as a CFO or senior finance leader
- Strong knowledge of broker-dealer regulations and US GAAP
- Experience preparing 15c3-3 and 15c3-1 reporting
- CPA is a plus
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