This position requires an individual with senior financial and operational experience, along with a broad business background to oversee the financial well-being of the firm. This person will collaborate with other senior members in areas such as Legal, HR, Compliance, Operations and Administration.
The Candidate works together with the firm’s CFO and other partners with the overall operations of the firm’s day to day business.
Bachelor’s Degree in Finance, Accounting or Business Administration, CPA is a plus.
4+ years in a similar position with relevant accounting/bookkeeping and financial control experience, preferably in a regulated financial services company such as a broker/dealer or registered investment adviser.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
Finance – Responsibilities include the preparation and reporting of the quarterly financial statements, all the underlying functions of accounts payable, accounts receivable (billing) and payroll processing, cash flow and assisting the partners with incentive compensation planning for staff, preparation of the LLC federal and state tax returns, including county and business licenses, maintaining banking relationships, petty cash account, business credit cards and maintaining general ledgers. Responsible for financial and profitability analysis by business line, segment and manager. Assess business and market risks and opportunities and modeling financial risk. Additionally, this individual will be responsible for procuring business insurance annually.
Information Technology –The firm partners with outside IT consultants to provide technical support and monitoring. Responsibilities include providing direction to and monitoring the activities of the IT consultants, ensuring accuracy of access records, proper backup of systems and maintenance and testing of the firm’s business contingency plan, ensuring sufficient security and firewall to protect the company’s and client information database, evaluating technology needs of the company and procuring replacement hardware and software where needed. Includes maintenance and monitoring of communication protocols such as telephone system, mobile devices and deployment of remote access to company servers and web based services. Research, evaluate and implement necessary technology applications and platforms in keeping with the firm’s business and security needs.
Human Resources – Assisting the firm’s HR person which includes procuring employee benefits plans, the annual employee compensation and bonus review process, resolving employee benefits and performance issues. Work with firm’s HR person on payroll and benefits issues. Assisting the HR person and partners for hiring and termination of employees, internships and temporary staff.
Operations / Client Administration – The firm utilizes a suite of products for maintaining client portfolios and databases. The candidate will assist the CFO/CCO who provides oversight and direction with the following activities:
A. Compliance – Responsibilities include assisting the CCO with the maintenance of the compliance manual and compliance calendar, conducting the annual compliance review and holding annual employee training meetings, reviewing personal trading and client trading, filing Form 13F, Form ADV and other firm wide filing requirements, handling regulatory body examinations and requests, updating the firm’s brochure annually and ad hoc, setting annual soft dollar budget and monitoring, conducting a quarterly compliance review process and a daily blotter review of trade execution as well as daily Personal Trade Request (PTR) approvals for staff. Making sure all compliance functions are in keeping with regulatory requirements. Keep updated with the firm’s federal compliance requirements through research, reading and attending conferences on current compliance issues, keeping all state registrations current, maintaining the firm’s compliance manual and compliance applications.
B. Facilities – Includes lease negotiations, landlord and property issues, security and contingency planning for disaster planning purposes. Responsible for the maintenance of onsite and offsite storage facilities for the purposes of records retention as required by federal regulations.
C. Legal –Responsible for any contractual documentation and execution with vendors, suppliers and outside administration.
Relevant Software application skills -Quickbooks, Salesforce, Netdocuments, Orion Advisor Services, 1Password, Schwab Compliance Technologies, Schwab Advisor Center, Microsoft Office products
Calmness and tact under pressure
Coordinate multiple tasks simultaneously
Collect, interpret, and/or analyze complex data and information
Understand and respond to a diverse population.
Works in an office setting