VP, Finance, Ops, Compliance

Our client, a boutique wealth management and financial planner is looking for a VP - Finance and Ops to join their team. This role is best suited for a senior professional with leadership experience who is literate with a variety of investments, can implement systems from the ground up, and has experience working in a small entrepreneurial environment.

The VP - of Finance and Ops will responsible for the design and implementation of all investment reporting and the firm's compliance program. This role will report directly to the CFO and CEO.

Role responsibilities:

• End-to-end responsibility for the operations and financial reporting of a registered investment management corporation
• Oversight of financial operations, controls, and reconciliation of investment accounts (i.e., seg accounts, pooled funds, private equities, real estate, etc.), including investment funding, capital calls, distributions, updating NAVs, client billing, etc.
• Onboarding of new investments, subscription forms, offering memorandums, obtaining stakeholder signoff, overseeing investment bookkeeping and document management
• Implementing compliance systems and maintaining a compliance program including building an IPS from scratch and ongoing monitoring, KYCs, KYPs, and investment management agreements in partnership with outside counsel
• Monthly regulatory reporting to clients including investment performance and transactions across multiple asset classes
• Helping with the preparation of firm financial statements on a quarterly basis
• Organization of documents needed for tax compliance
• Trade matching and allocation across multiple brokers and custodians
• Oversee one investment accountant and foster relationships with other administrative staff

Key Qualifications:

• Minimum 10 years of experience with at least 3 years in a leadership role in investment accounting, operations, compliance, or a combination thereof
• Strong knowledge of business operations and procedures; considerable experience with operations of various fund structures, securities, private investments, and custodians
• Familiarity with investment software and data platforms is a plus, but not required
• Self-motivated with a focus on driving results and a strong sense of accountability
• Strong communication, critical thinking, and project management skills; clear, articulate, organized, and highly efficient at communicating complex information