Manager/Director of Financial Management and Compliance Position Description
The Forbes M+A Group, was founded in 2004 with offices in Denver, CO, Salt Lake City, UT, and Nashville TN, and is an award-winning investment bank with expertise in mergers and acquisitions, capital formation, and financial restructuring within the middle market.
The group has over 15 years of experience delivering outstanding results for business owners, entrepreneurs, and investors. Advisors at The Forbes M+A Group have 250+ years of combined experience in international transactions across a wide variety of industries. The Forbes M+A Group has been recognized as a leader within the middle market as a regional M&A “Firm of the Year” for the past 5 years.
The manager/director of financial management and compliance will report to the president. This person will have direct responsibility for financial management and compliance.
- Financial statement preparation
- Accounts Receivable
- Accounts Payable
- Fixed Assets
- SEC and FINRA reporting
- Manage audit process and tax return filings with external CPA
- Review of marketing materials & advertising approvals
- Securities determinations
- Watch/Restricted lists
- MIS uploads/Client ID tracker & Cybersecurity
- Global Relay/email review
- QBA reviews/social media
- State registrations
- WSP review/procedures
- AML & FINRA review/examinations
Frequently Asked Questions
Where will this position be located?
This position can be located at headquarters or partially remote. The company headquarters is located at 6400 S. Fiddlers Green Circle, Suite 850, Greenwood Village, CO 80111.
What is the compensation package?
The compensation package will be commensurate with experience. The compensation will include a base salary, incentive compensation.
- This position requires a minimum of 8 years of experience in, public accounting or financial services.
- Prior experience in accounting is required.
- Strong excel and financial modeling is required.
- Series 28 and/or 24 licenses is a plus.
- Experience in a small dynamic company where your responsibilities are broad and varied is highly desired.
- This position requires a person who is hard working and committed to providing an excellent work product.
- This person should be assertive enough to voice their opinion and be a servant leader.
- This person should be highly collaborative and has a high attention to detail and accuracy.
- Excellent time management, communications, decision making, presentation, human relations, and organizational skills required.
If interested please contact firstname.lastname@example.org with your resume and reason of interest.