What are the responsibilities and job description for the CFO / FinOp (Series 27) position at Page Executive?
- Lead financial & regulatory oversight for a broker-dealer
- Key role interfacing with FINRA & external auditors
European broker-dealer and RIA based in Miami.
Aufgabengebiet
- 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
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
- Experience in a growing or mid-sized broker-dealer
- Exposure to introducing broker, clearing, or proprietary trading models
- CPA designation is a plus
- Competitive annual salary ranging from $180,000 to $220,000 USD.
Referenznummer: JN-052026-7028821
Salary : $180,000 - $220,000