CFO​/FinOp; Series

Position: CFO / FinOp (Series 27)
Lead financial regulatory oversight for a broker-dealer

Serve as primary contact for regulatory examinations

About Our Client Broker-dealer and RIA.

Job Description Regulatory & Financial Oversight Maintain ongoing compliance with applicable financial responsibility regulations and industry requirements.

Prepare, review, and submit regulatory filings and financial reports within required deadlines.

Monitor capital adequacy, liquidity levels, and related financial metrics, escalating issues when appropriate.

Oversee customer asset protection controls and ensure adherence to regulatory safeguarding requirements.

Act as the primary liaison during regulatory examinations and inquiries.

Accounting & Operational Management Manage the firm's general ledger, financial statements, accounting records, and reporting processes.

Oversee daily financial operations, reconciliations, exception management, and cash controls.

Review transaction activity to ensure accuracy and compliance with internal procedures.

Coordinate expense management, invoicing processes, and financial governance initiatives.

Support tax reporting and other statutory filing requirements.

Risk, Controls & Governance Establish and maintain a strong internal control environment across finance and operations.

Partner with external auditors on annual audits and regulatory reviews.

Monitor third-party service providers, clearing relationships, and outsourced operational functions.

Identify operational risks and implement process improvements to strengthen controls and efficiency.

Develop and maintain policies, procedures, and supervisory frameworks supporting regulatory compliance.

Leadership & Stakeholder Management Collaborate with senior management, compliance, legal, and operations teams on strategic initiatives.

Provide guidance and oversight to finance and operations personnel.

Support business growth while maintaining a robust control and compliance environment.

Communicate effectively with regulators, auditors, and internal stakeholders on financial and operational matters.

The Successful Applicant Bachelor's degree in Finance, Accounting, Business Administration, or a related discipline.

Prior experience serving as a designated FINOP within a regulated broker-dealer environment.

Active FINRA Series 27 or Series 28 licence required.

Strong knowledge of broker-dealer financial responsibility regulations, capital requirements, and regulatory reporting.

Experience preparing regulatory filings, financial statements, and audit documentation.

Solid understanding of accounting principles, reconciliations, and operational controls.

Previous experience managing finance and operations teams.

Familiarity with brokerage, wealth management, or private banking environments.

Experience interacting directly with regulators and external auditors.

Bilingual English and Spanish communication skills preferred.

Strong analytical skills, attention to detail, and ability to operate effectively in a highly regulated environment.

Preferred Background Broker-dealer finance and operations leadership

Regulatory reporting and capital management

Wealth management or private banking operations

Audit, risk management, and control frameworks

Third-party oversight and vendor governance

What’s on Offer $180,000 - $250,000 base salary.

Contact Lauren Van Manen Quote  job refJN-Job summary

Function CFO & Financial Management

SubsectorCFO & Financial Management Subsector Industry Financial  Services Location Miami Contract  type

Permanent

Consultant name Lauren Van Manen Job  referenceJN-About Page Executive Page Executive are inclusive Recruiters and Hirers, as reflected in our Clear Assured Platinum Standard Accreditation from the Clear Company. We are passionate about attracting diverse talent and are committed to ensuring our processes are inclusive and supportive.