Job #1301: Broker Dealer - Chief Financial Officer - New York, NY (11-7-19)

Job Title

Broker Dealer - CFO


New York



Job Description:

Company is currently seeking a seasoned Financial Leader to collaborate with the Regulated businesses of our major client.  These businesses are responsible for managing the client’s broker dealer, swap execution facility (SEF) and multilateral trading facility (MTF). The role will provide critical financial support to the Head of Sell Side Businesses, as well as to the Management Team.   

You will take ownership of:

  • Establishing partnering relationships with key business contacts.  Including but not limited  to business/product heads, Legal, Compliance, Treasury, etc… 
  • 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, etc
  • Over sighting of the annual external audit, regulatory audits and the annual and quarterly financial statement preparation and issuance
  • Ownership of governance framework for key committee meetings such as regulated entity risk committees
  • 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
  • Liaising with the business on tracking performance vs. business plans
  • Preparing financial presentations for the Management
  • Committee discussing performance against plan, initiatives and financial outlook
  • Coordinating ad hoc analysis and management reports
  • Supporting management reporting packages including business performance/results and variance analysis for revenue, expense, headcount and capital in a timely and consistent manner
  • Overseeing and monitoring monthly accounting close, ensure compliance with applicable internal and external accounting standards and financial practices
  • Designing and implementing systems, tools and reporting used in developing financial strategies
  • Continually streamline processes and proactively develop ways to enhance financial support to the client
  • Evaluating industry developments, market conditions, and economic news to determine financial and business impact. 
  • Participating in appropriate conferences and forums to remain informed on industry and regulatory developments
  • Coaching, developing and strengthening the skill of staff including junior and senior business analysts. 
  • Ensuring staff receive appropriate subject matter training and licenses as applicable
  • Evaluating, providing feedback, and conducting performance reviews for all team members


Interested candidates should e-mail resume to Lisa Gootman at: Please mention that you are a member of EisnerAmper's Friends of the Firm program.  Make sure to include Job #1301 in the subject line and to copy Nkrumah Pierre and Isabella Brilliant at on your email.