ACG Consulting Group LLC
Chief Financial Officer-Broker Dealer
ACG Consulting Group LLC, Arlington, Virginia, United States, 22201
Job Description
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.
Key Responsibilities :
Financial Strategy :
Develop and implement financial strategies to support the organization's growth. Financial Planning & Analysis :
Oversee budgeting, forecasting, and financial analysis. Regulatory Compliance :
Ensure adherence to financial regulations, including FINRA and SEC requirements. Accounting and Reporting :
Manage financial reporting, accounting, and audit processes. Leadership & Collaboration :
Lead the finance team, work with senior management, and interact with the board of directors. Qualifications : 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. Experience in preparing 15c3-3 and 15c3-1 reporting. Strong understanding of US GAAP financial reporting; CPA is a plus. Job Responsibilities : The Self Clearing Broker Dealer Controller oversees the accounting, financial, and regulatory reporting for the company, providing leadership and coordination of the Broker Dealer network. Processing and filing Focus Reports, broker dealer accounting, internal control over financial reporting, and stakeholder communication. Ensure company's accounting procedures conform to generally accepted accounting principles. Prepares internal and external financial reports for regulators, including summarizing, planning, and forecasting the organization's financial position, income statements, balance sheets, and revenue/expense analyses. Works with the broker dealer accounting manager, technical accounting and reporting, regulatory groups, and valuation review teams. Coordinates with legal and compliance for contingent losses. Prepares various regulatory filings for FINRA, SEC, and other SROs as necessary. Responsible for monthly accounting of certain balance sheet and P/L accounts. Required qualifications include a bachelor's degree in finance, accounting, or a related field. CPA and Series 27 certifications are required; Series 27 is mandatory, CPA is a plus.
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Develop and implement financial strategies to support the organization's growth. Financial Planning & Analysis :
Oversee budgeting, forecasting, and financial analysis. Regulatory Compliance :
Ensure adherence to financial regulations, including FINRA and SEC requirements. Accounting and Reporting :
Manage financial reporting, accounting, and audit processes. Leadership & Collaboration :
Lead the finance team, work with senior management, and interact with the board of directors. Qualifications : 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. Experience in preparing 15c3-3 and 15c3-1 reporting. Strong understanding of US GAAP financial reporting; CPA is a plus. Job Responsibilities : The Self Clearing Broker Dealer Controller oversees the accounting, financial, and regulatory reporting for the company, providing leadership and coordination of the Broker Dealer network. Processing and filing Focus Reports, broker dealer accounting, internal control over financial reporting, and stakeholder communication. Ensure company's accounting procedures conform to generally accepted accounting principles. Prepares internal and external financial reports for regulators, including summarizing, planning, and forecasting the organization's financial position, income statements, balance sheets, and revenue/expense analyses. Works with the broker dealer accounting manager, technical accounting and reporting, regulatory groups, and valuation review teams. Coordinates with legal and compliance for contingent losses. Prepares various regulatory filings for FINRA, SEC, and other SROs as necessary. Responsible for monthly accounting of certain balance sheet and P/L accounts. Required qualifications include a bachelor's degree in finance, accounting, or a related field. CPA and Series 27 certifications are required; Series 27 is mandatory, CPA is a plus.
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