CFO Regulatory

New York, NY



  • Ensuring oversight and compliance with all regulatory filings such as FOCUS & COREP
  • Deep understanding of applicable regulations and regulators, including FCA, SEC, CFTC, MAS, FINRA
  • Over sighting of the annual external audit, regulatory audits and the annual and quarterly financial statement preparation and issuance
  • Ensuring the documentation and maintenance of internal control policies for the various regulated entities
  • Ensuring active and on-going monitoring of the global regulatory environment to determine the impact and applicability of new or changing regulations. Ensure changes are effectively communicated and implemented by the Finance organization
  • Developing financial models, perform due diligence, create business plans, and provide decision support to management for strategic initiatives and business expansion
  • Partnering with the management team for the business planning process including validating and quantifying incremental resources (capital, expense & headcount) for calendar year initiatives
  • Establishing operating budgets and financial projections in-line with business objectives
  • Establishing capital budgets and financial projections consistent with corporate objectives/deliverables
  • Preparing financial presentations for the Management Committee discussing performance against plan, initiatives and financial outlook




  • Bachelor’s in accounting or Finance required; MBA and / or CPA a plus, JD is useful
  • At least 20 years industry domain expertise in a broker dealer or other regulatory environment (must have)
  • Series 27 Financial and Operations Principal license
  • Career experience with broker dealer, exchange or other financial instrument trading firms such as Goldman Sachs, NY Stock Exchange or ICAP
  • Proven experience working with regulators and regulatory bodies
  • Experience working with product, compliance and legal departments in the formulation and execution of business structures and products
  • Individual must collaborate effectively with the broader finance organization- accounting policy, tax, treasury, etc.
  • Experience with SAP, Business Warehouse, Hyperion, Microsoft SharePoint, is useful




Note: Qualified candidates will be contacted within 2 business days of the application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

Date Posted 11/7/2019
Salary $150,000 - $250,000 + bonus

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