Job Description

Our client is a rapidly growing independent RIA/wealth management firm with a multinational footprint and over $2 billion in AUM, committed to providing tailored investment and financial planning solutions for high-net-worth clients. The firm is seeking an experienced Finance Director with a background in wealth management or financial services and a broad understanding of the RIA business model and regulatory environment.

This is a high-impact, individual contributor role that not only oversees financial operations but also partners closely with firm leadership to drive long-term growth, enhance operational efficiency, and scale the business for the future.

Key Responsibilities of the Director of Finance:

FP&A and Firm Strategy

Partner with the executive team on business strategy, cost optimization, profitability analysis, scenario modeling, and long-term planning

Provide financial insights to support decisions related to growth initiatives, acquisitions, technology investments, and hiring

Develop and maintain KPIs and dashboards to track financial and operational performance

Analyze revenue streams, margin trends, and expense drivers to identify risks and opportunities

Lead annual budgeting and reforecasting processes, including variance analysis and executive-level reporting

Build financial models to support strategic initiatives, capacity planning, and headcount planning

Evaluate scalability of current operating model and recommend improvements to support firm-wide growth

Support pricing strategy, fee structures, and profitability by client segment or service line

Translate complex financial data into clear, actionable insights for senior leadership

Partner cross-functionally with operations, compliance, and leadership to align financial planning with business objectives

Financial Oversight

• Lead all aspects of the firm's accounting (oversee AP/AR, payroll, budgeting, cash management, tax filings, etc.) and financial reporting functions.
• Direct month-end closing of the General Ledger; prepare and analyze monthly, quarterly, and annual financial statements.
• Monitor cash flow, profitability, and expense control.
• Negotiate fee structures and coordinate with external accounting vendors who perform financial reviews and due diligence analyses.
• Prepare materials for Board of Directors meetings.

Risk Management & Compliance

• Collaborate with compliance to ensure financial reporting aligns with SEC/FINRA regulatory requirements.
• Oversee internal controls, policies, and procedures to safeguard firm assets.
• Evaluate operational and financial risks and recommend mitigation strategies.

Operations & Efficiency

• Oversee Human Resources functions, including onboarding of new hires.
• Oversee vendor management.
• Assist with the transition to and subsequent enhancement of the ERP system.
• Oversee and optimize the firm's technology spend.

Qualifications of the Director of Finance:

• Bachelor's degree in Accounting, Finance, Mathematics, Statistics, or a similar STEM-based major.
• 10-15 years of progressive experience in accounting and finance, including ideally at least 3 years within an RIA specifically focused on high-net-worth wealth management.
• Strong understanding of RIA business models, fee structures, and regulatory environment.
• Experience within a smaller, rapidly growing firm, with demonstrated success scaling operations within approximately $2 billion to $10 billion in AUM.
• Proficiency with portfolio accounting systems, CRMs, and Microsoft Excel/Power BI.
• CPA is a plus
• Expertise in FP&A, financial modeling, budgeting, and KPI development.
• Proven ability to serve as a trusted strategic partner with the vision to think broadly about the business and its long-term growth.
• Demonstrated ability to improve processes, implement systems, and scale infrastructure in a growing firm.
• Familiarity with platforms such as Black Diamond, Addepar, Schwab, Pershing, QuickBooks, Tally, and NAV administration is a plus
• Excellent leadership, communication, and interpersonal skills.
• Comfortable operating in a lean environment, building infrastructure and scaling for growth, while serving as a hands-on individual contributor handling day-to-day responsibilities and partnering strategically with leadership.

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