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 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
Education
Qualifications, Knowledge, Skills and Abilities:
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
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
About Us
Join us at BDO, where you will find more than a career, you’ll find a place where your work is impactful, and you are valued for your individuality. We offer flexibility and opportunities for advancement. Our culture is centered around making meaningful connections, approaching interactions with curiosity, and being true to yourself, all while making a positive difference in the world.
At BDO, our purpose of helping people thrive every day is at the heart of everything we do. Together, we are focused on delivering exceptional and sustainable outcomes and value for our people, our clients, and our communities. BDO is proud to be an ESOP company, reflecting a culture that puts people first, by sharing financially in our growth in value with our U.S. team. BDO professionals provide assurance, tax and advisory services for a diverse range of clients across the U.S. and in over 160 countries through our global organization.
BDO is the first large accounting and advisory organization to implement an Employee Stock Ownership Plan (ESOP). A qualified retirement plan, the ESOP offers participants a stake in the firm’s success through beneficial ownership and a unique opportunity to enhance their financial well-being. The ESOP stands as a compelling addition to our comprehensive compensation and Total Rewards benefits* offerings. The annual allocation to the ESOP is fully funded by BDO through investments in company stock and grants employees the chance to grow their wealth over time as their shares vest and grow in value with the firm’s success, with no employee contributions.
We Are Committed To Delivering Exceptional Experiences To Middle Market Leaders By Sharing Insight-driven Perspectives, Helping Companies Take Business As Usual To Better Than Usual. With Industry Knowledge And Experience, a Breadth And Depth Of Resources, And Unwavering Commitment To Quality, We Pride Ourselves On
Welcoming diverse perspectives and understanding the experience of our professionals and clients
Empowering team members to explore their full potential
Our talented team who brings varying skills, knowledge and experience to proactively help our clients navigate an expanding array of complex challenges and opportunities
Celebrating ingenuity and innovation to transform our business and help our clients transform theirs
Focus on resilience and sustainability to positively impact our people, clients, and communities
BDO Total Rewards that encompass so much more than traditional “benefits.” Click here to find out more!
Benefits may be subject to eligibility requirements.
Equal Opportunity Employer, including disability/vets
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All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability or protected veteran status.
"BDO USA, P.A. is an EO employer M/F/Veteran/Disability"
Seniority level
Executive
Employment type
Full-time
Job function
Finance and Accounting/Auditing
Industries
Accounting
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