Job Description

CFO Position Overview

Halo Investing is a fast-growing financial technology company with a mission to empower investors by providing access to a wide range of protective investment solutions. Our platform offers a marketplace for structured notes, SMAs, defined outcome ETFs, insurance, and annuities, connecting financial advisors and investors to a previously inaccessible market. We are committed to transparency, competition, and efficiency, and we are looking for a visionary CFO to help us navigate our next phase of growth.

We are seeking a dynamic and experienced Chief Financial Officer (CFO) to join our executive team. This is a Chicago-based (hybrid) role is responsible for directing all financial aspects of the company, driving financial strategy, and ensuring the company's long-term financial health. The ideal candidate will be a strategic thinker with a strong background in leading finance and accounting, preferably within a regulated broker-dealer environment in the fintech industry. As a senior leader, you will work closely with the CEO and other executives to make data-driven decisions that will shape the future of Halo Investing.

Key Responsibilities

• Providing strategic and operational leadership, you will serve 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.

Regulatory Compliance & Broker-Dealer Operations

• 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.

Financial Planning, Analysis & Operations

• 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.

Team Leadership

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

Investor Relations

• 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.

Halo's Benefits

• This is a Chicago-based hybrid role, working 3 days/week in Halo's downtown Chicago office.
• Work with a great team in an exciting work environment.
• Competitive compensation package including base salary and annual discretionary bonus based on personal and business objectives.
• Comprehensive benefits including medical, dental, vision insurance, life & disability, etc.
• Multiple voluntary benefits: identity protection, pet insurance, accident insurance and more!
• Flexible PTO policy
• 401k program to help build wealth for the future
• Paid parental leave to bond with your new addition
• Chicago-based employees have access to a company-paid, on-site gym, happy hours, and ad-hoc outings and activities like sports teams, volunteer events and more!

Halo values diversity and inclusion, and we are proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, sex, sexual orientation, national origin, disability status, protected veteran status, or any other characteristics protected by federal, state, or local laws, regulations, or ordinances. If you need assistance or accommodation due to a disability or special need when applying for a role or during our recruitment process, please speak with our recruiter or contact us at: hr@haloinvesting.com.

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