Guggenheim Securities

Chief Financial Officer – CFO

Guggenheim Securities

full-time

Posted on:

Location Type: Hybrid

Location: New York City • Illinois • New York • United States

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Salary

💰 $225,000 - $275,000 per year

Job Level

Lead

About the role

  • 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.
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
financial reportingmonth-end closeconsolidation processesaccounting policiestotal return swapsrepurchase agreementssecurities lendingUS GAAPregulatory reportingfinancial operations
Soft Skills
communication skillsleadershipteam developmentrelationship managementinternal controlsaudit readinessgovernance frameworks
Certifications
CPACFAadvanced degree