Chief Financial Officer-Self Clearing Broker Dealer

ACG Consulting Group LLC•New York, NY

4d•$275,000 - $325,000•Onsite

About The Position

New York Self Clearing Broker-Dealer is seeking a Chief Financial Officer (CFO) to lead its financial operations and strategy. The CFO will be responsible for financial planning, budgeting, and ensuring regulatory compliance. The CFO will supervise and review all of the finance departments work to ensure accuracy. This role also involves collaborating with senior management.

Requirements

Proven experience as a CFO or senior finance leader, preferably in a broker-dealer or similar financial services environment.
Strong financial acumen, including financial modeling, budgeting, and forecasting.
Deep knowledge of broker-dealer regulations and compliance.
Excellent leadership, communication, and strategic planning skills.
Must have experience in preparing 15c3-3 and 15c3-1 reporting.
Strong understanding of and experience in US GAAP financial reporting a must.
Series 27 a must have.
A bachelor's degree in finance, accounting, or a related field.
Series 27 is required.

Nice To Haves

CPA a plus.
CPA is a huge plus.

Responsibilities

Develop and implement financial strategies to support the organization's growth.
Oversee budgeting, forecasting, and financial analysis.
Ensure adherence to financial regulations, including FINRA and SEC requirements.
Manage financial reporting, accounting, and audit processes.
Lead the finance team, work with senior management, and interact with the board of directors.
Oversee the accounting and financial and regulatory reporting for the Company.
Provide leadership and coordination of the Broker Dealer network.
Processing and filing Focus Reports.
Broker Dealer Accounting, Internal Control over Financial Reporting, and other stakeholders.
Ensure company's accounting procedures conform to generally accepted accounting principles.
Prepare internal and external financial reports for Self Clearing Broker Dealer.
Work with the Executive team to summarize, plan and forecast the organization's financial position, including income statements, balance sheets, and analyses of future revenues, expenses and earnings.
Work with individual broker dealer accounting manager, Technical Accounting and Reporting, Regulatory and Reporting groups, and Valuation Review.
Work with legal and compliance for contingent losses.
Prepare various regulatory filings for FINRA, SEC & other SRO's as necessary.
Monthly accounting responsibility for certain balance sheet and P/L accounts.