Head of Finance

Calton & Associates is seeking a highly motivated and experienced Head of Finance to lead and manage the financial operations of the broker-dealer, RIA, and insurance entities.

The Head of Finance will oversee the accounting and commissions teams and serve as a member of the senior management team, contributing to strategic decision-making across the firm.

This role is responsible for filing the monthly FOCUS Report and ensuring the firm’s financials comply with applicable rules and regulations of the U.S. Securities and Exchange Commission, Financial Industry Regulatory Authority, state securities regulators, and insurance authorities.

The Head of Finance will lead financial budgeting, audits, and regulatory reporting, and will develop, implement, communicate, and review corporate financial policies, procedures, systems, and controls designed to effectively manage risk across the broker-dealer and RIA platforms.

This position is accountable for ensuring that all financial reporting aligns with regulatory requirements as well as the firm’s internal policies and supervisory procedures.

• Lead the production and review of accurate, timely monthly financial statements
• Oversee preparation and filing of all required regulatory reports
• Provide oversight of the payroll process
• Direct coordination of the annual external audit and tax return preparation
• Oversee accounts payable, accounts receivable, payroll, and fixed asset functions
• Supervise and develop accounting staff
• Lead coordination of the annual budgeting process and financial planning cycle
• Serve as primary liaison with regulatory bodies, including Financial Industry Regulatory Authority and U.S. Securities and Exchange Commission
• Ensure maintenance and integrity of firm books and records in accordance with regulatory standards
• Perform additional financial and operational duties as assigned by the CEO

• Education – Bachelor’s degree in Accounting required;
  Series 27 required
• Computer Skills – Advanced proficiency in Microsoft Office, particularly Microsoft Excel (including Power Query), with the ability to work across multiple financial, reporting, and regulatory systems
• Strong interpersonal and verbal communication skills
• High level of discretion and ability to appropriately handle confidential matters
• Exceptional attention to detail
• Highly organized with the ability to manage multiple priorities
• Knowledge of the financial services industry and regulatory environment