SVP, Chief Financial Officer
Calton & Associates
Location: Tampa, FL
Calton & Associates is a one of the nation’s long standing independent broker dealers, RIA and insurance Agencies servicing independent financial advisors. Founded in 1987, Calton & Associates has built a solid foundation for supporting independent financial advisors and the growth of their business. Through a comprehensive range of financial products and services, Calton & Associates helps advisors pursue the appropriate financial solutions to support a clients’ needs. With over 135 offices nationwide Calton & Associates is a family friendly broker dealer for quality advisors who want independence along with support to grow their business.
Job Description
Calton & Associates is looking for a highly motivated and experienced Chief Financial Officer (“CFO”) to lead and manage the broker dealer, RIA and insurance financials.
They will also manage the accounting and commissions staff. The CFO will be a member of the senior management team and have input on broad overall decisions with Calton & Associates.
The CFO will be responsible for filing the monthly FOCUS report and ensure the firms financials are following SEC, FINRA, state securities and insurance financial rules and regulations. The CFO will be responsible for financial budgeting and audits, reporting developing, implementing, communicating, and reviewing corporate policies, procedures, trends, and systems designed to enable the broker dealer and RIA to effectively manage risk. The CFO will be responsible for ensuring that Calton’s reporting complies with regulatory requirements and the firm’s policies and supervisory procedures.
Employee Type: Full-Time, Exempt
Responsibilities
• Production of accurate and timely monthly financial statements
• Preparation and filing of required regulatory reports
• Assist in the payroll process
• Coordination of annual external audit and tax returns
• Oversight of the accounts payable, receivable, payroll and fixed asset functions
• Supervision of accounting staff
• Coordination of the annual budget process
• Responsible for firm-wide Information Systems functions
• Liaise with regulatory bodies including FINRA and the SEC
• Maintenance of firm books and records
• Performing other duties as assigned by CEO
Qualifications
• Education – 4 Year degree in Accounting, Series 27, CPA preferred but not required
• Computer skills – Strong Microsoft Office and ability to work in multiple software systems
• Special skills
o Strong interpersonal and verbal communication skills.
o Ability to appropriately handle confidential matters
o Strong attention to detail
o Highly organized
o Knowledge of the financial services industry
Physical Demands and Work Environment
• Continually required to sit at computer for extended periods of time. Continually required to talk or hear and utilize visual acuity to use computer and other office equipment.
• Occasionally required to lift or carry boxes less than 25lbs
Compensation and Benefits
• Base Salary
• Annual Bonus
• Company Profit Sharing Plan Bonus
• Company 401K and Matching Program
• Medical Coverage
• Dental Coverage
• Life Insurance Coverage
Send resume to lcalton@calton.com.