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Overview
The Chief Financial Officer (CFO) plays a pivotal role in steering the financial strategy and health of Client, serving as a key executive leader responsible for overseeing the financial management, strategic planning, and regulatory compliance of the company. This critical position demands a seasoned professional with a comprehensive skill set and a track record of success, particularly in the context of an earlier stage company entering the Public Company environment requiring a transformation of financial systems, reporting and controls, while at the same time requiring a “hands on” entrepreneurial approach to cope with the ever-changing high growth environment the Company finds itself in.
Responsibilities
• Financial Leadership: Provide strategic financial leadership by overseeing all aspects of financial planning, budgeting, and forecasting. Develop and implement financial policies, procedures, management reporting, and controls to ensure the organization's fiscal health.
• M&A Strategy and Execution: Be a key team member in the development and execution of the company's M&A strategy, conducting thorough financial due diligence, assessing risks, and ensuring a seamless integration process.
• Government Contract Management: Navigate the complexities of government contracting, ensuring compliance with regulatory requirements and overseeing financial aspects of government projects to optimize profitability and mitigate risks.
• International Financial Management: Develop and implement financial strategies for global operations, managing currency risks, international taxation, and compliance with diverse regulatory environments.
• Stakeholder Communication: Effectively communicate the company's financial performance, strategies, and risks to shareholders, analysts, and the broader stakeholder community.
• Oversees all financial activities of the organization including but not limited to financial planning, forecasting, budgeting, accounting, cash flow management, reporting, revenue cycle and cost management.
• Plays an active role in organization’s strategic planning, program development and evaluation through financial analysis, forecasting, and advising.
• Conducts financial analysis and planning and identifies opportunities for improving financial performance.
• Monitors policy and external landscape for developments that impact organization financially and makes recommendations based on such developments.
• Develops organization and program budgets; monitors adherence to budgets; provides analysis and feedback to relevant stakeholders.
• Delivers monthly and other related financial updates and analyses for Executive Committee.
• Oversees Finance Department functions including Accounts Receivable, Accounts Payable, Finance, Credit & Collections and Facilities.
• Recruits, develops, evaluates, and manages accounting and finance staff.
• Develops, reviews, and recommends updates to the organization’s financial policies and procedures and assures their implementation.
• Ensures compliance with generally accepted accounting procedures, legal and regulatory requirements (i.e, local, state, and federal government requirements including SOX requirements).
• Develops and upholds effective internal controls to safeguard assets and reliability of financial statements.
• Oversees business unit tax filings, audits, and reports ensuring timely submission.
• Participates in Executive Leadership Team meetings and activities and works with departments to achieve financial goals.
Qualifications/Education Requirements
• Public Company Expertise: The ideal CFO candidate should possess a robust background in navigating the intricacies of public companies. This includes a deep understanding of financial reporting requirements, compliance with regulatory standards such as SEC filings, and an ability to effectively communicate financial performance to shareholders, analysts, and other stakeholders.
• Mergers and Acquisitions (M&A) Experience: A successful CFO in this role should have a proven history of guiding organizations through mergers, acquisitions, and divestitures. This involves not only financial acumen but also strategic thinking, risk assessment, and the ability to integrate disparate financial systems seamlessly.
• Government Contracts Expertise: Given the increasing complexity of government contracting, a qualified CFO should have hands-on experience in managing financial aspects related to government contracts. This includes compliance with regulatory frameworks, understanding the nuances of contract accounting, and ensuring the organization meets the financial requirements stipulated in government agreements.
• International Finance Experience: A solid understanding of international finance. This involves managing currency risks, navigating diverse regulatory environments, and optimizing financial operations on a global scale.
• Bachelor’s degree in business administration/management, accounting, or finance; Master’s degree preferred.
• Five+ years’ experience as a CFO or senior financial manager.
• CPA credential preferred.
• Ability to analyze financial data from multiple sources.
• Excellent oral and written communication skills with ability to engage with wide range of stakeholders.
• Ability to lead teams and collaborate effectively with internal and external stakeholders.
Please contact Jim Conley – JCS Search, LLC at jim@jcs-search.com – 917-405-8132
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Summary of Responsibilities
The Chief Compliance Officer is responsible for ensuring compliance with industry rules and regulations (SEC, FINRA), as well as identifying and documenting regulatory risks and assisting the firm in developing policies, procedures, and controls.
This position involves planning, supervising, and executing day-to-day operational compliance activities. This individual will help maintain a strong compliance framework for a growing team. Reporting to the COO of Client Brokerage. Additionally, the CCO will work with the operations and business development teams to help expand new business lines, identify regulatory risks and requirements, and assist in the overall growth and success of the firm.
The candidate should have experience providing direction and oversight and be able to help guide the team in the assessment of control deficiencies while assisting in developing effective remediation plans. The CCO will also provide direction in the ongoing maintenance of the annual compliance risk assessment.
The individual must be able to provide compliance guidance that balances regulatory requirements, risk mitigation and business objectives.
Essential Duties and Responsibilities Include:
• Review, execute and update the firm’s Written Supervisory Procedures.
• Review, execute and update the firm’s Anti-Money Laundering Plan.
• Supervision of the firm’s annual compliance meeting and testing.
• Oversight of new and continuous regulatory risks.
• Oversight and review of current and new FINRA and SEC regulatory requirements.
• Performing daily, weekly, monthly, quarterly, and annual compliance reviews.
• Lead, manage and respond to regulatory inquiries, regulatory exams, and customer complaints.
• Review contracts and agreements with vendors, platform providers, RIA’s etc.
• Regulatory supervision of new and existing customer accounts domestic and foreign.
• Review and supervise the firm’s Advertising polices and regulatory rules and requirements.
• Work directly with the clearing firm to manage and resolve regulatory risks and requirements.
• Review Best Execution reports and Order Routing practices.
• Monitor employee activity.
• Monitor employee and customer correspondence.
• Provide ongoing employee training and new hire registration requirement.
* The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of the position.
Qualifications and Registrations
• Extensive knowledge of SEC and FINRA rules and regulations and how they apply to the firm’s policies and procedures.
• Ability to effectively work collaboratively, cross functionally and with individuals at all levels of the organization.
• Excellent organizational and project management skills, including managing multiple projects in a dynamic development environment.
• Strong leadership and management skills demonstrating integrity and professionalism.
• Strong computer skills, including Word and Excel.
• Strong communication skills, written and verbal.
• Strong understanding of equities and options trading.
• Series 7 and 24 required.
• Series 4 Preferred.
• Bachelor’s degree required.
• Minimum of 10 years industry experience.
• Minimum of 5 years compliance and management experience.
Please contact Jim Conley at JCS-Search – jim@jcs-search.com
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Specific Responsibilities Include:
• The candidate must build or have an inherent understanding of retail trading and how customer acquisition strategies work. The candidate will own and help drive the strategy to engage Tradier partners to increase trader acquisition.
• Collaborate with management to enhance the overall on how Tradier is positioned, adopted, and accepted in the market.
• Ensure the Client communication, websites, blogs, and social media reflect the appropriate positioning of the firm.
• Collaborate with management to draft overall co-marketing strategy and messaging.
• Have a strong understanding of content marketing and content syndication.
• Own and manage SEO, PPC, email, banner, affiliate, and social programs for each customer segment.
• Partner with platform providers to design new and innovative co-marketing programs for their end customers.
• Drive public relations activities, including creating press releases and releasing them via newswires or agencies.
• Comfortable working with technology team on developing, implementing, and iterating on a marketing strategy and the various technical components of its execution.
• Work with designers, developers and outside agencies to create the required software and digital assets to support marketing programs.
• Implement KPIs and analytics to measure the ROI for various marketing efforts.
• Manage the marketing budget across various efforts.
Job Requirements
• 8+ years successfully driving customer acquisition, engagement, and conversion in a fast-paced startup environment.
• A passion for data—great at translating numbers into insights in order to rapidly iterate on marketing campaigns and approaches.
• Eagerness to get your hands dirty. If you don’t know how to get what you need, you will charge through walls to figure it out.
• Equal comfort with talking to developers, business leaders, and active traders and investors.
• Knowledge of marketing technologies and vendors to support scaling online marketing/customer acquisition efforts.
• Exceptional writing and copy-editing skills.
• Understanding of the financial technology industry not required, but the candidate should be eager to dive in and master the domain.
Please contact Jim Conley at JCS-Search – jim@jcs-search.com
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About Client:
Our client is an online media and publishing platform focused on Financial Markets, boasting an established ecosystem of online investors, content, and partners. Currently, we are in search of a new charismatic CEO to lead the strategic growth and expansion of our business, with a primary focus on content partnerships, content creation, product development, monetization, and distribution.
Our client is actively building a set of content channels centered around specific verticals, aiming to create a network involving partners, users, and content publishers. The appointed CEO will have full responsibility for profit and loss, direction, and strategy ownership. The ideal candidate for this role will possess a strong entrepreneurial spirit and the ability to effectively manage a small team in a rapidly changing and competitive environment.
Specific Responsibilities Include:
• Establish product-market fit for the firm's content platform.
• Manage and cultivate relationships with original content providers, leveraging a deep understanding of the US equities markets.
• Evaluate the company's business expansion and go-to-market strategy, exploring both organic and non-organic opportunities.
• Prioritize attracting, retaining, and developing high-caliber talent across all levels of the organization.
• Expand the firm's newsletter business.
• Represent the organization at conferences and engage with the press.
Business Development:
• Develop product suites that drive revenue.
• Monetize existing assets.
• Establish reseller contracts to drive channel sales.
• Create sustainable ad and sponsorship programs to monetize content creation.
Platform Development:
• Reorganize and refocus content on the company's popular web properties.
• Form downstream syndication partnerships for content with national and local news outlets.
• Establish programming and content channels that encourage frequent visits and engagement.
Content:
• Position the company as the leading source for emerging growth economic news.
• Develop programming, video, and editorial channels.
• Establish video syndication partnerships for wider video distribution.
• Onboard media talent.
Requirements:
• Proven experience in leadership roles within start-up and high-growth media companies, thriving in competitive environments.
• In-depth understanding of the Editorial, Technology, and content distribution stacks.
• Demonstrated track record of success in digital advertising and/or premium content video platforms.
• Proficient in managing top-line revenues while maintaining a strong focus on bottom-line profitability.
• Established senior-level relationships within advertising and content ownership communities.
• Bachelor's degree from a 4-year university program; MBA preferred.
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The General Manager will play a pivotal role in leading the team focused on winning, i.e., developing excellent people, earning profit, and business growth. You will be responsible for overseeing all aspects of operations, ensuring seamless coordination among various departments, and driving the overall success of the organization. The GM role much provide for exceptional leadership, strategic thinking and planning, and construction industry expertise. Reports directly to the CEO
– U.S. Operations. Works cooperatively with the Northeast Regional Sales Manager, company administration, technical, research and development, production departments and other regional offices to achieve company goals and objectives.
Essential Functions and Responsibilities:
Compliance and Safety:
1. Ensure strict adherence to all regulatory requirements, building codes, and safety standards.
2. Promote a culture of safety throughout the organization, implementing best practices to minimize workplace accidents and injuries.
Leadership and Team Management:
1. Follow and adhere to the Client’s strategic plan, business plan and philosophy, and overall culture.
2. Provide strong and visionary leadership to all departments fostering a positive and collaborative work environment.
3. Hire, train, and develop a skilled and motivated workforce to ensure business success and employee growth.
4. Set clear goals, performance expectations, and conduct regular performance evaluations for team members with a minimum of one formal evaluation per year using the client’s framework.
5. Keep the CEO briefed on a regular basis; written monthly reports and intermittent communications. Strategic
Strategic vPlanning and Business Development:
1. Collaborate with the executive team to develop and implement business plans that align with the company's vision and growth objectives.
2. Identify new business opportunities, potential clients, and strategic partnerships to expand our market presence.
3. Analyze market trends and competition to stay ahead in the industry and make informed business decisions.
Project Management and Execution:
1. Oversee the successful execution of all commercial construction projects from inception to completion.
2. Ensure projects are delivered within budget, on time, and meeting the highest quality and service standards.
3. Address any challenges or obstacles that may arise during construction and implement effective solutions wherever possible.
4. Bring high level challenges to the CEO for guidance.
Financial Management:
1. Develop and manage the company's budget, financial forecasts, and cost control measures.
2. Monitor project expenses and revenue to maintain profitability and financial health.
3. Implement strategies to optimize resources and reduce operational costs without compromising quality.
Client Relationship Management:
1. Build and maintain strong relationships with clients, addressing their concerns and providing excellent customer service.
2. Seek feedback from clients to improve service delivery and maintain a high level of client satisfaction.
Minimum Qualifications:
1. Bachelor's degree in Construction Management, Civil Engineering, Business Administration, or a related field. A Master's degree is a plus.
2. Proven experience as a General Manager or in a senior leadership or project management role within the commercial construction industry.
3. Comprehensive knowledge of commercial construction processes, project management methodologies, and industry best practices.
4. Strong business acumen with a successful track record in strategic planning and business development.
5. Excellent communication and interpersonal skills, with the ability to inspire and lead a diverse team. 4. Exceptional problem-solving skills, decision-making abilities, and attention to detail.
6. Demonstrated financial management skills and a solid understanding of budgeting and financial reporting.
7. Familiarity with relevant construction regulations, building codes, and safety protocols.
Working Conditions and/or Physical Demands:
• Prolonged periods sitting at a desk and working on a computer.
• Must be able to lift up to 15 pounds at times.
• This position will require regular travel within the region, and in the United States.
The General Manager can expect some after-hours meetings and weekend activities as required to accomplish his/her duties.
• Daily work schedule can vary depending on circumstances.
The General Manager shall be in excellent physical condition as required. Specifically, the physical demands of the General Manager’s job include but are not limited to:
a. Driving long distances (must have a valid driver’s license)
b. Flying in an airplane
c. Climbing and descending stairs and ladders
d. Lifting a minimum of 50 pounds
e. Excellent dexterity
f. Ability to communicate clearly and effectively via telephone, in person and in writing.
Reports to the Reports directly to the CEO – U.S. Operations.