As the Director of Finance, you will be responsible for overseeing various accounting and finance functions, including preparing financial statements, budgeting and forecasting, and completing month-end and year-end close processes – all while also leading the firm’s compliance activities to ensure adherence to our industry regulations and internal policies.

GENERAL SUMMARY:

We are seeking an experienced and dynamic Director of Finance to join our team. In this pivotal role, you will be responsible for overseeing various accounting and finance functions, including preparing financial statements, budgeting and forecasting, and completing month-end and year-end close processes – all while also leading the firm’s compliance activities to ensure adherence to our industry regulations and internal policies.
This role requires strong analytical skills, attention to detail, and a solid understanding of GAAP. You’ll partner closely with executive leadership to drive profitability, optimize operational efficiency, ensure compliance and guide investment in new opportunities. If you are a finance leader who thrives in a collaborative and entrepreneurial environment, then our firm is looking for you!

EDUCATION AND EXPERIENCE REQUIREMENTS:

• Bachelor’s degree in Accounting, Finance, or a related field.
• 4+ years of relevant accounting experience, ideally in wealth management, financial services, or a related industry.
• CPA or working toward CPA certification is a plus.
• Proficiency with Sage Intacct accounting software and Microsoft Excel (e.g. pivot tables, VLOOKUPs) is a plus.

KNOWLEDGE, SKILLS AND ABILITIES:

• Maintains a client-first attitude with a keen focus on delivering service beyond expectations.
• Possesses an eye for detail and is accurate, organized, and can set priorities appropriately.
• Considers themselves tech savvy and can quickly learn new software, platforms, and tools.
• Has developed an advanced problem-solving acumen and decision-making prowess.
• Exhibits strong ethics and dedication to maintaining high confidentiality of firm data.
• Responsive and effective communicator, verbally and in writing, who can build trusting and supportive relationships with all levels of firm employees.
• Highly professional and mature and can serve as a positive role model for the firm.
• A self-starter who can take initiative.
• Someone who challenges the status quo and is a successful change agent.

Accounting & Finance

• Prepare accurate and timely financial statements, including balance sheets, income statements, and other financial documents.
• Perform general ledger and bank account reconciliations and analyze accounts to ensure accuracy and compliance with GAAP.
• Complete monthly, quarterly, and annual accounting close processes, including journal entries, accruals, and adjustments.
• Process vendor invoices and prepare vendor payments while managing the firm’s cash flow.
• Review and process employee’s personal and company credit card expense reports while ensuring compliance with company policies and maintaining accurate records.
• Complete annual budget process, monthly budget-to-actual variance reporting, and other ad-hoc financial planning and analysis projects to help provide insights into company performance.
• Handle quarterly fee billing calculations and assist HR team with payroll calculations.
• Support the internal and external audit process and coordinate with auditors to ensure the timely delivery of requested financial data and explanations during audit procedures.
• Collaborate with external tax preparers and assist in gathering supporting information to ensure a timely and accurate submission of federal, state and local tax filings.
• Maintain accurate records of shareholder accounts and process dividends payments, stock transfers, and any other shareholder transactions.
• Identify opportunities to streamline processes, enhance accuracy, and improve efficiency in accounting operations.

Data & Reporting

• Assist with quarter-end reporting requirements including regulatory report filings and board of director meeting packets.
• Develop, track, and assist in optimizing department and company level key performance indicators (KPIs) and dashboards that measure operational efficiency, client satisfaction, and business growth, ensuring alignment with the firm’s strategic goals. Provide data-driven insights to senior management to enhance decision-making and performance.
• Complete industry benchmarking studies to help evaluate the firm’s performance against industry standards and competitors, identifying opportunities for operational improvements, cost efficiencies, and best practices to drive strategic growth.
• Manage ad hoc data requests and special projects, analyzing complex information to support strategic initiatives across the organization.

Compliance

• Partner with compliance analyst to ensure compliance requirements are met and proactively collaborate with other departments as needed to ensure compliance issues are addressed, investigated, and resolved.
• Review and maintain firm’s trust and SEC compliance policies and procedures, disclosure and client agreement documents and compliance calendar, suggesting updates or amendments for approval as needed.
• Assist with SEC, state and other regulatory exams or audits, prepare any required responses and ensure changes are implemented to address any findings.
• Provide oversight of the firm’s Code of Ethics, including attestations, personal trading activities, reporting of business gifts, outside business activities, etc.
• Review all required compliance reports, regulatory filings and disclosure documents in a timely and accurate manner.
• Managing and working with third parties and outside counsel on compliance items.
• Assist with the performance of the annual review of the firm’s compliance program.
• Manage continuing education requirements for advisor representatives and complete other firm registration requirements as needed.
• Assist in day-to-day supervision of marketing related materials, employees’ email communications, portfolio trading and the maintenance of all books and records.
• Provide support to Chief Operating Officer in administration of ad-hoc compliance projects.

Leadership

• Understand and support the firm’s vision, mission and strategy.
• Collaborate and build relationships with internal teams to execute on the needs of the firm.