CHIEF FINANCIAL OFFICER

Dunham & Associates Holdings, Inc. and its subsidiaries (collectively, “Dunham”) is a thought leader in the financial services industry. The way we work is a direct reflection of our company culture; we believe in accountability, putting our clients first, and constantly striving for growth. Since 1985, Dunham has grown to become a multi-billion-dollar firm. We work with close to 1,400 Financial Advisors across all 50 states.
Dunham & Associates Investment Counsel, Inc., a subsidiary of Dunham, is an independently owned, registered Broker/Dealer and Investment Adviser helping Financial Advisors and individual investors reach their long-term goals. The firm’s focus is on providing disciplined wealth management solutions and related services.

JOB SUMMARY: (PURPOSE OF JOB)

The Chief Financial Officer is responsible and accountable for all aspects of the Company’s financial management (financial control and reporting, tax compliance, budgeting, etc.) for five affiliated corporate entities. Participates as a C-Level executive management team member.

Essential Functions: (Primary Responsibilities)

• Collaborates with C-Level peers to develop and execute strategic long-term plans, fiscal policies, growth strategies, product development, employee development, etc.;
• Ensures timely and accurate financial reporting for CEO, President, regulators, Department Heads, Board of Directors, etc.;
• Serves as Treasurer and Principal Accounting Officer for the Dunham Funds trust (assists in required reporting, participates in board meetings, approves fund expenses, etc.);
• Serves as the Company’s FINOP (Financial and Operations Principal) pursuant to FINRA requirements (responsible for maintaining required regulatory net capital; monthly, quarterly and annual filings; administrator of FINRA Gateway system for Firm);
• Serves as a Board Member and member of various committees of Dunham Trust Company (DTC);
• Prepares quarterly DTC board meeting materials, minutes and annual shareholder meeting information;
• Directs the comprehensive (multi-entity, multi-departmental) annual budget process and prepares forecasts and three-year strategic plans as required;
• Oversees Human Resources Director including compensation structures, employee insurance and other benefits;
• Oversees the Controllership function including financial and regulatory reporting, payroll, commission payments, general ledger, debt service, inter-company eliminations, etc.;
• Oversees the Accounting Manager and Staff Accountant functions including accounts payable, employee T&E reporting, fixed assets, prepaid accounting, unclaimed and unsecured property taxes;
• Administers the Company’s 401(k) plan;
• Administers the Company’s Employee Stock Purchase Plan and tracks basis for all participants;
• Administers the Great Plains/Microsoft Dynamics accounting system;
• Completes various annual license renewals (trust company license, business licenses, Secretary of State filings, etc.);
• Performs detailed commission tracking and calculation for RDs (Regional Directors) and BDAs (Business Development Associates);
• Stays abreast of changes in technical accounting pronouncements and other accounting policies, tax law, relevant SEC and Nevada FID regulations, etc.;
• Formulates/enhances objectives, policies and procedures for finance, human resources and compliance as required;
• Primary interface with external auditors for annual financial audits (prepares all financial statements and footnotes) and participates in various other audits;
• Primary liaison with bank(s) for accounts, account analysis, cash management, etc.;
• Performs acquisition due diligence, analysis and accounting (have completed ATC, Provident, CB&T, GSN, PEA);
• Performs complex consolidated federal and multi-state income tax accounting and preparation in conjunction with outside CPAs (C-Corp, QSSS, CA FTB, NV, Commerce Tax, PA, TX, IRS plus other minor states); prepares quarterly tax estimates; optimizes tax strategies to reduce tax liabilities;
• Handles all aspects of corporate insurance (E&O/D&O, trust professional liability, commercial package, Financial Institutions Bond (Fidelity Bond), workers compensation, cybersecurity, etc.)

Back-Up Functions: (Secondary Responsibilities)

• Backup for various departmental functions, as needed;
• Backup for COO and Compliance, as needed