Chief Financial Officer

Career Summary

Halo Investing is a fast-growing financial technology company dedicated to empowering investors through access to a diverse range of protective investment solutions. Our platform serves as a marketplace for structured notes, SMAs, defined outcome ETFs, insurance, and annuities, connecting financial advisors and investors with a previously inaccessible market. We are seeking a visionary CFO to lead our next phase of growth.

Key Responsibilities

• Providing strategic and operational leadership, serving as a key financial advisor to the CEO and executive team on strategic planning, financial planning, and investment priorities.

• Develop and implement financial strategies aligned with the company's overall business objectives to maximize profits and plan for growth.

• Provide strategic recommendations based on financial analysis, market trends, and business insights.

• Oversee all financial operations related to our broker-dealer, including regulatory reporting (FOCUS reports), net capital computations, and compliance.

• Ensure adherence to all FINRA and SEC financial regulations and requirements.

• Liaise with auditors and regulators on all broker-dealer financial matters.

• Lead the annual budgeting, financial forecasting, and long-range planning processes for the firm.

• Provide in-depth financial analysis to identify key business drivers, trends, and opportunities for performance improvement.

• Direct all accounting operations, ensuring the timely and accurate preparation of financial statements in compliance with GAAP or IFRS.

• Lead, manage, and mentor the team, fostering a culture of high performance, accountability, and continuous improvement.

• Oversee investor relations and communication, ensuring timely and accurate reporting to all stakeholders.

Qualifications

• Bachelor's degree in Finance, Accounting, or a related field; CPA and/or MBA is strongly preferred.

• 10+ years of progressive experience in senior finance leadership roles within a regulated financial services firm, including proven experience as a CFO, VP of Finance, FinOp or similar role(s).

• Deep knowledge of broker-dealer operations, financial reporting, and regulations; FINRA Series 27 license is required, and a Series 24 is highly preferred.

• Exceptional leadership, communication, and interpersonal skills, with the ability to serve as a key partner on an executive team.