Broker Dealer – CFO//Series 27
A full-service growing investment management firm is looking for an industry experienced CFO with Series 27 license.
Reporting to the CEO, the CFO position will be responsible for directing the fiscal functions of the corporation in accordance with Client, SEC, and GAAP standards, as well as maintaining appropriate internal controls. The selected individual will be an integral part of the executive management team and a member of the Executive Team.
? Assessing and evaluating financial performance of organization with regard to long and short-term operational goals, budget, and forecasts
? Overseeing activities of the accounting, payroll, AP and regulatory reporting
? Acting as the firm's FINOP and ensure timely filing for all financialreports, FOCUS, and other regulatory reports and compliance with Client, SEC, and other regulatory bodies
? Analyzing new accounting pronouncements for impact on company operations
? Effectively planning and establishing sound financial and operational controls
? Providing timely and accurate analysis of budgets, financialreports, and financial trends
? Facilitating identification, acquisition and implementation of systems and software to increase work efficiency and cost effectiveness.
The Successful Applicant
?CPA or equivalent experience
? Series 27 and 5+ years of relevant broker-dealer experience
? Superior knowledge of GAAP, Client, and SEC rules and regulations
? Demonstrated understanding of broker-dealer operations
? Proven leadership and management experience
? Must be an effective communicator (bilingual – English / Spanish)
? Some travel may be required