CFO

Vaco Financial is currently assisting a reputable broker-dealer / investments firm located in the Northern VA / DC / Maryland area with its search for a  CFO / Controller.

The position reports to the CEO and will manage a small accounting team. The team is working remotely with 1 or 2 visits to the office per month.

The Chief Financial Officer / Controller is responsible for managing financial operations, including but not limited to financial planning, risk management, books and records, reporting, and compliance, including net capital rules and customer protection rules under the Financial Industry Regulatory Authority, (FINRA) and Securities and Exchange Commissions (SEC) regulatory compliance and reporting, for the company its affiliates and subsidiaries, and supports the company’s strategic goals to ensure its financial health and stability.

Essential Duties & Responsibilities :

• Develop, execute, and oversee financial plans and strategies, budgets, cash flow, and forecasts to support strategic objectives

Identify, assess, and mitigate financial risks, including those related to market volatility, credit and operational risk, regulatory compliance, and fraud prevention

Prepare and present accurate and timely financial statements and other financial performance reports to stakeholders, investors, regulators, and management

Manage and maintain a sound capital structure involving debt, equity, and investment decisions

Establish and maintain strong internal controls, compliance policies and procedures over financial reporting and operations

Ensure adhere to compliance with relevant FINRA and SEC rules and regulations, including those related to the timely submission of financial reports, capital adequacy rules, and internal controls

Provide advice on financial implications of key decisions, including potential mergers and acquisitions

Collaborate with other C-suite executives, department heads, and external advisors to support the company’s financial goals

Supervise and mentor accounting operations team members; delegate and provide guidance and support to ensure they are equipped to perform their roles effectively

Stay abreast of financial regulations and trends; make adjustments to ensure compliance and efficiency

Performs other related duties as assigned, which may also include labor law compliance management Education, Licensing, Certifications, and Experience :

Bachelor’s degree in finance, accounting, economics, or business administration; an MBA is a plus

At least ten years’ work experience heading accounting and financial risk in the financial services industry

Licenses or Certifications : FINRA Series 27 (Financial Operations Principal or FINOP) Our client offers a comprehensive benefits plan including medical, dental, vision, and a retirement savings plan.

For consideration, please send a MS Word version of your resume to chip.vanschaften at vaco.com

Vaco Financial specializes in the permanent placement of accounting and finance professionals of all levels and industries. We have a team of experienced accounting professionals on staff that makes it their responsibility to educate you on the market, present you with job opportunities to explore, and ensure that the right decision is made regarding your future career. We pride ourselves in providing you with a professional and confidential search. Please visit our website to see a sample of the positions we are currently recruiting.

Vaco by Highspring values a diverse workplace and strongly encourages women, people of color, LGBTQ+ individuals, people with disabilities, members of ethnic minorities, foreign-born residents, and veterans to apply.

EEO Notice

Vaco by Highspring is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment because of race (including but not limited to traits historically associated with race such as hair texture and hair style), color, sex (includes pregnancy or related conditions), religion or creed, national origin, citizenship, age, disability, status as a veteran, union membership, ethnicity, gender, gender identity, gender expression, sexual orientation, marital status, political affiliation, or any other protected characteristics as required by federal, state or local law.

Vaco by Highspring and its parents, affiliates, and subsidiaries are committed to the full inclusion of all qualified individuals. As part of this commitment, Vaco by Highspring and its parents, affiliates, and subsidiaries will ensure that persons with disabilities are provided reasonable accommodations. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and / or to receive other benefits and privileges of employment, please contact HR@vaco.com .

Vaco by Highspring also wants all applicants to know their rights that workplace discrimination is illegal .

By submitting to this position, you agree that you will be giving Vaco by Highspring the exclusive right to present your as a candidate for the foregoing employment opportunity. You further agree that you have represented information about yourself accurately and have not affirmatively misrepresented your qualifications. You also agree to maintain as confidential, to the fullest extent permitted by law, any information you learn from Vaco by Highspring about the position and you will limit disclosure of information about the position only to the extent necessary to perform any obligations in furtherance of your application. In exchange, Vaco by Highspring agrees to exercise reasonable efforts to represent you through all solicitation, job screening and resume dispersal.

Privacy Notice

Vaco by Highspring and its parents, affiliates, and subsidiaries (“we,” “our,” or “Vaco by Highspring”) respects your privacy and are committed to providing transparent notice of our policies.

California residents may access Vaco by Highspring HR Notice at Collection for California Applicants and Employees here .

Pay Transparency Notice

Determining compensation for this role (and others) at Vaco by Highspring depends upon a wide array of factors including but not limited to :

With that said, as required by local law, Vaco by Highspring believes that the following salary range referenced above reasonably estimates the base compensation for an individual hired into this position in geographies that require salary range disclosure. The individual may also be eligible for discretionary bonuses.