| Location: |
CA-Sacramento
West Coast (CA, OR, WA, AK & HI) |
| Salary Range: |
100,000 - 150,000 |
| Bonus & Incentives: |
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| Position Responsibilities: |
Our client is a very successful independently owned financial services firm that is on a major growth curve. This firm is seeking an experienced finance professional for the position of Vice President/Director of Finance. Reporting to the Chief Operating Officer, this individual will serve as the senior financial professional responsible for overseeing the financial and internal controls of this broker dealer and registered investment advisor. This position will be located in the Sacramento, CA metro area and will require relocation for candidates currently living outside that area.
Key Responsibilities
· Oversee the preparation and filing of financial regulatory reporting requirements standard to the securities industry, including filing FOCUS reports.
· Guide the firm in all regulatory financial measures to ensure satisfactory FINRA and SEC audit results.
· Review and manage financial reporting regulatory risks related to the Net Capital Rule.
· Develop enhancements to existing financial regulatory reporting policies and procedures.
· Manage and maintain the firm’s accounting internal controls including assessment, improvement, and identify opportunities for enhancements to existing internal controls to manage financial regulatory reporting risks.
· Manage the company cash accounts, including the accounts payable and receivable functions.
· Manage annual budgeting and monthly forecast processes.
· Provide performance and variance analysis of monthly financial results.
· Actively participate in merger and acquisition decisions, as well as other strategic initiatives, by preparing analyses for such initiatives via revenue modeling, discounted cash flow modeling, and statistical modeling, etc.
· Directly supervise a small team, providing leadership and direction to the team.
· Regularly interact with various levels of management, including senior business heads across several business lines and operating companies, senior financial personnel, and regulators.
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| Education and Certifications/Licenses: |
Bachelors, Series 7 & 27 - must haves |
| Mandatory Minimum Qualifications: |
· Ideal candidate will have a strong securities industry background and will be familiar with industry reporting requirements, focus reports, etc.
· The candidate must have both Series 7 and 27 (Fin Op) securities licenses.
· College degree, preferably in Accounting/Finance. CPA not required, but would be considered a strong plus.
· Minimum of 5 years experience in the securities industry, with responsibility for broker dealer financial operations, including broker dealer reporting.
· Experience working with National Financial Services or Pershing clearing platforms.
· In depth knowledge of statutory, FINRA, and SEC accounting rules and regulations.
· Prior supervisory experience.
· Previous experience with mergers & acquisitions is a plus.
· A strong preference to work in an entrepreneurial environment.
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| Preferred Qualifications: |
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| Additional Comments: |
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| Benefits: |
Yes
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| Overnight Travel: |
None Listed |
| Relocation Assistance: |
Yes |
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