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. The position will also play a critical role in helping to shape and guide the future growth and development of the investment bank within the organization.Job Duties :Provides full oversight over BDO Capital Advisors’ investment banking relationshipsPartners with practices organization wide on go-to-market strategies around M&A and bankingResponsible for sourcing, negotiating, and executing middle market mergers and acquisitions as well as corporate finance transactionsGeneration of business prospects with a minimum fee size of $500kIdentification and acquisition of prospective clients and projects from external network and internal BDO organization sources, with specific emphasis on building relationships with BDO alliance firmsDesigns 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 strategyManagement of client needs and expectations and project elements for multiple client relationships simultaneouslyProvides leadership and guidance within a functional investment banking group in association with the administration of prospective client projects and transactionsProvides regular reporting as requested to the BDO Capital Advisors Board of Directors on strategic planning and financial performance objectivesProvides strategic advice on banking relationships and initiatives directly impacting BDO Capital AdvisorsResponsible for overseeing the carrying out of compliance procedures, including annual compliance certification, AML, and cybersecurityResponsible for responding to FINRA examinations and any other regulatory inquiriesOther duties as requiredSupervisory Responsibilities :Supervises the BDO Capital Advisors’ registered representativesEvaluates the performance of BDO Capital Advisors’ management personnel and assists in the development of goals and objectives to enhance professional developmentDelivers periodic performance feedback, completes performance evaluations, and ultimately responsible for hiring and termination decisionsQualifications, Knowledge, Skills and Abilities :Education :Bachelor’s degree, required; with a focus in Accounting, Economics or Finance, preferredMBA, preferredExperience :Fifteen (15) or more years of experience at a middle market investment bank, requiredInvestment banking and middle market sell-side and buy-side advisory experience, requiredExperience in leveraged recapitalizations, corporate divestitures, go-private transactions, management buy-outs and exclusive sales, requiredExperience with private placements and fairness opinions, requiredProven experience growing an investment banking franchise, requiredExperience developing a highly-experienced team for transaction execution, requiredExperience with ESOP advisory services, preferredCertifications :FINRA Series 79, 24 and 63 licenses, requiredSoftware :Proficient in the use of Microsoft Office Suite, specifically Excel, Word, and PowerPoint, requiredLanguage : N / AOther Knowledge, Skills & AbilitiesSuperior analytical and diagnostic skills, and ability to apply analysis in determining appropriate next stepsAdvanced knowledge of all appropriate forms of debt related instrumentsAbility to price project plans to ensure highest level of profitabilityStrong knowledge in all phases of merger and acquisition processKnowledge of continuum of corporate finance productsAbility to source debt and equity for client engagementsAbility to source and execute middle market M&A and corporate finance transactions with valuations of $10 million to $250 millionExcellent verbal and written communication skillsSolid organizational skills with a focus on detailsBuild and maintain strong relationships with internal staff members and clientsAn extensive contact base focused on a current pipeline of potential clientsWillingness to travel extensively to establish internal referral base and relationship networkAbility to apply and comply with SEC, FINRA, AML, and state laws requirements, including cybersecurityIndividual 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 compensationNYC / Long Island / Westchester Range : $300,000 to $400,000 with opportunity for significant variable compensation
