Director of Finance And Operations

4 weeks ago

houston, United States Stavis Wealth Transfer Solutions Full time

Job Title: Director of Finance and Operations

Position Overview:

This dynamic and experienced executive will work closely with the CEO and leadership team to align operational excellence with the company’s overall goals.

Key responsibilities include overseeing the creation and execution of firm financials, optimizing internal processes, and leading the company through key growth stages. This candidate will play a pivotal role in shaping the company’s investor relations and capital formation strategies. Understanding financial forecasting for capital-raising and investor reporting will be essential, along with some experience in strategic operational planning and experience in mergers and acquisitions of RIA’s a plus. The Director of Finance and Operations will also ensure compliance with SEC regulatory standards, working closely with external SEC legal counsel to maintain adherence wo regulatory regulations and fiduciary responsibilities.

Stavis Wealth, a start-up with a proven track record of success, was founded by a visionary CEO with a history of building and scaling wealth management firms. This accomplished leader previously founded and grew two private wealth management firms, each with assets under management at $1 billion, both were successfully merged with public companies.

The Director of Finance and Operations will be instrumental in managing financials and eventually forecasts that include acquiring individual CFP’s or small RIA firms along with due diligence and integration support for these acquisitions.

Key Competencies:

  • Strategic Thinking & Foresight: Ability to anticipate operational efficiencies to increase the scale in personal estate planning with a focus on revenue growth and cost control.
  • Business Acumen: Strong understanding of custodial and broker-dealer relationships and operations including potential investor relations and partnership opportunities in the wealth management sector.
  • Compliance Expertise: 5+ years of experience in regulatory compliance, with a focus on wealth management, and maintaining strict adherence to fiduciary responsibilities.
  • Ethics & Integrity: A deep commitment to ethical decision-making, ensuring the highest fiduciary standards of compliance and fiduciary duty in all business dealings.
  • Contract Negotiation: Skilled in designing key business agreements and reviewing legal contracts with specific experience in investment agreement and partnership contracts in the financial sector.
  • Leadership & Team Management: Proven ability to lead and manage teams while fostering a collaborative, high-performance culture.
  • Results-Oriented: Strong focus on scalability and sustainable growth.
  • Development & Compensation Oversight: Talent development including but not limited to career and compensation development including best practices for base salary and incentive plans, career paths, compensation structures and equity participation within the firm.

Key Responsibilities:


Compliance:

  • Liaise with the Compliance Officer, SEC attorney, and Chief Investment Officer to maintain compliance with regulatory standards.
  • Interface experience with broker-dealers and custodians in wealth management is highly preferred, ensuring adherence to all fiduciary and regulatory obligations for high-net-worth client management.

Operational Scaling:

  • Collaborate with the CEO and other team members to ensure operational processes can scale effectively to meet revenue and expense adjustment targets, focusing on optimizing workflows, procedures, and regulatory compliance.
  • Manage growth in personnel and expenses carefully, ensuring that expansion aligns with revenue generation to prevent overextension implementing financial controls to monitor and adjust resource allocation as needed.

 

Financial Reporting & Forecasting:

  • Report and gauge revenue growth from three different sources: consulting fees, AUM, and risk management products. Partner with the CEO to forecast revenue outcomes and ensure alignment between strategic growth initiatives and financial goals.
  • Monitor and analyze financial metrics to assess the profitability and sustainability of growth strategies with regular updates provided to investors and stakeholders on financial health.

Leadership & Collaboration:

  • Provide strategic leadership across departments, encouraging efficiencies throughout the organization.
  • Work with CEO to assess most appropriate time to include new team members that enhance profitability. Support strategic decision-making regarding personnel and resource growth, based on revenue forecasts and performance metrics.

Reporting & Communication:

  • Regularly update the CEO on the progress key performance indicators (KPIs), financial forecasting, and client satisfaction and ease of operations to leverage team members, to ensure informed decision making.
  • Maintaining clear detailed monthly communication on revenue and expense trajectories.
  • Oversee financial forecasting and budgeting processes, providing accurate projections that support strategic planning, operational adjustments, and resource allocation.
  • Demonstrate expertise in technology systems for revenue and expense management to enhance operational efficiency and financial oversight. Experience with platforms such as eMoney, Black Diamond, QuickBooks online for financial planning and reporting, Adaptive Insights for budgeting and forecasting, and Salesforce for tracking and client relationship management is preferred, with a focus on selecting and implementing tools that enable data-driven insights for investor and financial reporting.

 

Qualifications:

  • Bachelor’s degree in Accounting, Business, Economics, Finance, or a related field.
  • 10+ years of experience in Finance and operations, ideally within wealth management or related financial services firm.
  • Strong analytical skills, forecasting experience (strong Excel), and financial metrics.
  • Exceptional leadership, communication, and collaboration skills.
  • Experience in mergers, acquisitions, and partnerships a plus, particularly within the RIA or private wealth management industry.
  • Ability to balance long-term strategic vision with day-to-day operational execution.

Technical Competencies:

·      Creation and Execution of Firm Financials

·      Advanced Excel and familiarity with other forecasting tools

·      Proficiency in advanced reporting tools within Quickbooks Online (or comparable cloud-based tools)

  • 5+ years of experience in regulatory compliance, preferred in Financial Services

 

 

 

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