Advisor compliance

Job Summary :

The President and Chief Compliance Officer, for BDO Capital Advisors, LLC will serve dual roles in leading the organization’s investment banking subsidiary and managing its operational and compliance functions.

The individual in this role will be focused on leading the middle market investment bank which focuses on sell-side advisory, acquisition advisory, ESOP advisory, capital raising, special situations and board advisory services.

The President and Chief Compliance Officer will work on building, implementing, and overseeing processes, workflows, procedures, and work product in accordance with all regulatory requirements.

The role will oversee daily activities within BDO Capital Advisors operations related to client accounts, transactions, and activities.

Job Duties :
• Provides full oversight over BDO Capital Advisors’ investment banking relationships
• Partners with practices organization wide on go-to-market strategies around M&A and banking
• Responsible for sourcing, negotiating, and executing middle market mergers and acquisitions as well as corporate finance transactions
• Generation of business prospects with a minimum fee size of $500k
• Identification and acquisition of prospective clients and projects from external network and internal BDO organization sources, with specific emphasis on building relationships with BDO alliance firms
• Designs and recommends to the Board for approval a business strategy that results in sustainable growth consistent with a fast-growing investment banking organization.

Works closely with the Board to execute the approved strategy
• Management of client needs and expectations and project elements for multiple client relationships simultaneously
• Provides leadership and guidance within a functional investment banking group in association with the administration of prospective client projects and transactions
• Provides regular reporting as requested to the BDO Capital Advisors Board of Directors on strategic planning and financial performance objectives
• Provides strategic advice on banking relationships and initiatives directly impacting BDO Capital Advisors
• Responsible for overseeing the carrying out of compliance procedures, including annual compliance certification, AML, and cybersecurity
• Responsible for responding to FINRA examinations and any other regulatory inquiries
• Other duties as required

Supervisory Responsibilities :
• Supervises the BDO Capital Advisors’ registered representatives
• Evaluates the performance of BDO Capital Advisors’ management personnel and assists in the development of goals and objectives to enhance professional development
• Delivers periodic performance feedback, completes performance evaluations, and ultimately responsible for hiring and termination decisions

Qualifications, Knowledge, Skills and Abilities :

Education :
• Bachelor’s degree, required; with a focus in Accounting, Economics or Finance, preferred
• MBA, preferred

Experience :
• Fifteen (15) or more years of experience at a middle market investment bank, required
• Investment banking and middle market sell-side and buy-side advisory experience, required
• Experience in leveraged recapitalizations, corporate divestitures, go-private transactions, management buy-outs and exclusive sales, required
• Experience with private placements and fairness opinions, required
• Proven experience growing an investment banking franchise, required
• Experience developing a highly-experienced team for transaction execution, required
• Experience with ESOP advisory services, preferred

Certifications :

FINRA Series 79, 24 and 63 licenses, required

Software :
• Proficient in the use of Microsoft Office Suite, specifically Excel, Word, and PowerPoint, required
Language :
• N / A
• N / A

Other Knowledge, Skills & Abilities
• Superior analytical and diagnostic skills, and ability to apply analysis in determining appropriate next steps
• Advanced knowledge of all appropriate forms of debt related instruments
• Ability to price project plans to ensure highest level of profitability
• Strong knowledge in all phases of merger and acquisition process
• Knowledge of continuum of corporate finance products
• Ability to source debt and equity for client engagements
• Ability to source and execute middle market M&A and corporate finance transactions with valuations of $10 million to $250 million
• Excellent verbal and written communication skills
• Solid organizational skills with a focus on details
• Build and maintain strong relationships with internal staff members and clients
• An extensive contact base focused on a current pipeline of potential clients
• Willingness to travel extensively to establish internal referral base and relationship network
• Ability to apply and comply with SEC, FINRA, AML, and state laws requirements, including cybersecurity

Individual salaries that are offered to a candidate are determined after consideration of numerous factors including but not limited to the candidate’s qualifications, experience, skills, and geography.

National Range : $300,000 to $400,000 with opportunity for significant variable compensation

NYC / Long Island / Westchester Range : $300,000 to $400,000 with opportunity for significant variable compensation

United States
Florida
West Palm Beach Show on map Get directions