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CFO / FinOp (Series 27)

Company

Page Executive

Location

Grays, England

Type

FULL_TIME

Job Description

  • Serve as the designated Financial and Operations Principal (FinOp)
  • Oversee all broker-dealer financial reporting, including FOCUS filings
  • Ensure compliance with SEC, FINRA, and applicable regulatory standards
  • Manage net capital calculations and liquidity requirements
  • Lead annual audits and act as primary liaison with external auditors
  • Implement and maintain internal controls, policies, and procedures
  • Oversee general ledger, financial statements, and budgeting process
  • Provide strategic financial insights to executive leadership
  • Coordinate regulatory examinations and inquiries
  • Supervise finance and accounting team members

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