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We are seeking a FINOP (Series 27) / Accounting professional to join our client's team as Chief Financial Officer (CFO). The successful applicant will oversee all financial and regulatory reporting matters for both the Registered Investment Advisor and Broker/Dealer including: • Month end closings including participation in results review or written commentaries • Oversee preparation of GAAP Financial Statements, Annual/semi annual/quarterly financial statements & footnotes preparation for a group of legal entities, • Coordinate with outside CPA firm on annual audits and tax filing preparations, • Oversee all regulatory filings • Represent the firm externally to auditors and regulatory bodies, Regulatory /Audit examination coordination: External audit / NYSE / SEC /FINRA, • Ensure compliance with local, state, and federal reporting requirements, • Calculate commissions for financial representatives and professional affiliates, • Develop internal accounting procedures and controls, • Maintain relationships with appropriate banks and oversee Treasury functions • Oversee the implementation, enhancement and maintenance of financial systems (e.g., G/L), • oversee the design and development of appropriate financial and accounting systems and procedures • Monthly meetings with senior personnel to address expenses & cost controls/allocations/accruals / etc. The successful candidate must be experienced in, and be comfortable with, creating numerous financial statements and reports. Working knowledge of broker/dealer regulations, traditional and new industry products and key US GAAP elements for brokerage activities required. Ability to supervise and career develop staff, as well as possess the ability to multi-task, prioritize and be detail-oriented required. CPA and Series 27 FINOPS license. The ideal candidate will possess a Bachelor’s degree in Accounting or another related discipline and at least 5+ years of relevant experience in an Asset Management Firm, RIA and/or Broker Dealer. To be confidentially considered for this opportunity, Futurestep registrants are welcomed to submit their resumes to: Jeremy Roberts jeremy.roberts@futurestep.com
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