| Location: |
OH-Cincinnati
Lower Midwest (IL, IN, IA, KS, KY, MO, NE & OH) |
| Salary Range: |
Salary $137K |
| Bonus & Incentives: |
management incentive plan |
| Position Responsibilities: |
Reports To: SVP - Corporate Planning and Development. Immediate opportunity for a VICE PRESIDENT AND SENIOR FINANCIAL OFFICER located in Cincinnati, Ohio corporate headquarters. The VP & Senior Financial Officer is responsible for strategic direction of the company’s financial and accounting functions, processes and plans for the company. Functional responsibilities include oversight for management reporting, financial reporting, regulatory reporting, budgeting and forecasting. In addition, this financial leader will establish and maintain through direct or shared service organizations, appropriate capabilities in support of required company financial regulatory reporting, internal controls, cash management, disbursement, financial planning, and budget management function as well ensure compliance with accepted accounting principles, NASD, SEC and other regulatory requirements.
Key to success in this role will be the design and implementation of an organizational structure and talent management plan to accomplish the department's goals.
Proven experience and knowledge with broker-dealers, investment advisors, traditional and new industry products and pricing models.
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| Education and Certifications/Licenses: |
Bachelors, Series 27 FINOP license. CPA Required. |
| Mandatory Minimum Qualifications: |
Minimum 7 years relevant broker-dealer and RIA experience (CFO or senior level finance role with CFO functional accountability).
Experience working with other National Financial Services correspondent broker-dealer is highly preferred.
Possesses in-depth knowledge and experience of statutory, GAAP and SEC accounting rules and regulations.
Proven knowledge and work experience in back office operations and successfully executing leadership functions through a shared services structure as well as working in a matrix reporting structure.
Proven leadership ability
Excellent verbal and written communication skills
Drive for results
Strong analytical skills, including demonstrated experience identifying and quantifying problems and providing effective resolutions.
Bachelors Degree in Accounting, Finance or related discipline.
Strong technology skills and orientation
Proficient in software and database applications, such as accounting software.
Certifications & licenses •Series 27 FINOP license.
•CPA Required
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| Preferred Qualifications: |
•Series 7 and 24 preferred.
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| Additional Comments: |
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| Benefits: |
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| Overnight Travel: |
None Listed |
| Relocation Assistance: |
Yes |
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