Director of Finance; Wealth Mgmt

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.

• 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 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.

• 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 with in 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, Quick Books, 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.

• Be part of a thriving company with accelerated growth and long‑term opportunity.
• Pivotal leadership role with a defined career path to CFO.
• Strategic impact on the direction and financial performance of a dynamic, growing firm.
• Hands‑on opportunity to drive operational excellence and scalable infrastructure.
• Competitive base salary and generous target bonus.