Chief Financial Officer – CFO

🕒 March 23

🏢🏡 New York City – Hybrid

💵 $225k - $275k / year

⏰ Full Time

🔴 Lead

💸 Financial Planning and Analysis (FP&A)

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Guggenheim Securities

WebsiteLinkedInAll Job Openings

501 - 1000 employees

💸 Finance

Finance • Investment Banking • Consulting

Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners. We offer a premier strategic advisory practice, tailored financing solutions, and market insights through research, sales & trading. At the intersection of innovative industries and markets, Guggenheim Securities is the thought leader for cutting-edge companies worldwide, providing unique advice and insight across industry sectors including tech, energy, healthcare, and mobility. We serve as a trusted advisor for various financial transactions, including mergers, acquisitions, and capital raising, while prioritizing our culture and talent recruitment.

📋 Description

• Lead all financial reporting, month-end close, and consolidation processes across the various entities in the business • Own and enforce accounting policies for structured products including total return swaps (TRS), repurchase agreements, securities lending, and other funding arrangements in accordance with US GAAP • Manage FOCUS and other regulatory reporting, as well as overall capital compliance, for the SEC-registered SBSD, including net capital requirements under SEC Rule 18a-1, financial recordkeeping under Rule 18a-6, and periodic reporting obligations under Rule 18a-7 • Contribute to compliance efforts related to SEC risk management requirements applicable to SBSDs, including margin, counterparty exposure, and position reporting • Partner with technology leadership on the modernization of our accounting and order management systems, including the transition from legacy infrastructure to new financial reporting and journal entry processes • Establish and maintain strong internal controls, audit readiness, and governance frameworks across both regulated and unregulated entities • Manage relationships with external auditors, regulators, custodians, and counterparties • Build and develop the finance and accounting team

🎯 Requirements

• Minimum of 15 years of progressive finance and accounting experience • CPA required; CFA or advanced degree a plus • Substantive experience in a regulated financial services environment required; candidates from the following backgrounds are strongly encouraged to apply: SEC-registered security-based swap dealers (SBSD) • CFTC-registered swap dealers (SD) or futures commission merchants (FCM) • FINRA-registered broker-dealers, particularly those with prime brokerage, equity finance, or OTC derivatives businesses • Familiarity with SEC or FINRA regulatory capital frameworks; direct experience with SEC SBSD rules (18a-1, 15c3-1, 18a-6, 18a-7) is a plus but not required — candidates with transferable regulatory capital experience are encouraged to apply • Strong technical accounting background in derivatives and structured products under US GAAP, including equity swaps, TRS, and repurchase agreements • Experience managing financial operations across both regulated entities and unregulated affiliates, including intercompany arrangements and transfer pricing considerations • Track record of leading or contributing to financial systems modernization initiatives • Excellent communication skills with the ability to translate complex financial and regulatory matters internally and externally.