Chief Financial Officer - Financial Services

OverviewCHIEF FINANCIAL OFFICERDunham & Associates Holdings, Inc. and its subsidiaries (collectively, “Dunham”) is a thought leader in the financial services industry. The way we work is a direct reflection of our company culture; we believe in accountability, putting our clients first, and constantly striving for growth. Since 1985, Dunham has grown to become a multi-billion-dollar firm. We work with close to 1,400 Financial Advisors across all 50 states. Dunham & Associates Investment Counsel, Inc., a subsidiary of Dunham, is an independently owned, registered Broker / Dealer and Investment Adviser helping Financial Advisors and individual investors reach their long-term goals. The firm’s focus is on providing disciplined wealth management solutions and related services.ResponsibilitiesCollaborates with C-Level peers to develop and execute strategic long-term plans, fiscal policies, growth strategies, product development, employee development, etc.;Ensures timely and accurate financial reporting for CEO, President, regulators, Department Heads, Board of Directors, etc.;Serves as Treasurer and Principal Accounting Officer for the Dunham Funds trust (assists in required reporting, participates in board meetings, approves fund expenses, etc.);Serves as the Company’s FINOP (Financial and Operations Principal) pursuant to FINRA requirements (responsible for maintaining required regulatory net capital; monthly, quarterly and annual filings; administrator of FINRA Gateway system for Firm);Serves as a Board Member and member of various committees of Dunham Trust Company (DTC);Prepares quarterly DTC board meeting materials, minutes and annual shareholder meeting information;Directs the comprehensive (multi-entity, multi-departmental) annual budget process and prepares forecasts and three-year strategic plans as required;Oversees Human Resources Director including compensation structures, employee insurance and other benefits;Oversees the Controllership function including financial and regulatory reporting, payroll, commission payments, general ledger, debt service, inter-company eliminations, etc.;Oversees the Accounting Manager and Staff Accountant functions including accounts payable, employee T&E reporting, fixed assets, prepaid accounting, unclaimed and unsecured property taxes;Administers the Company’s 401(k) plan;Administers the Company’s Employee Stock Purchase Plan and tracks basis for all participants;Administers the Great Plains / Microsoft Dynamics accounting system;Completes various annual license renewals (trust company license, business licenses, Secretary of State filings, etc.);Performs detailed commission tracking and calculation for RDs (Regional Directors) and BDAs (Business Development Associates);Stays abreast of changes in technical accounting pronouncements and other accounting policies, tax law, relevant SEC and Nevada FID regulations, etc.;Formulates / enhances objectives, policies and procedures for finance, human resources and compliance as required;Primary interface with external auditors for annual financial audits (prepares all financial statements and footnotes) and participates in various other audits;Primary liaison with bank(s) for accounts, account analysis, cash management, etc.;Performs acquisition due diligence, analysis and accounting (have completed ATC, Provident, CB&T, GSN, PEA);Performs complex consolidated federal and multi-state income tax accounting and preparation in conjunction with outside CPAs (C-Corp, QSSS, CA FTB, NV, Commerce Tax, PA, TX, IRS plus other minor states); prepares quarterly tax estimates; optimizes tax strategies to reduce tax liabilities;Handles all aspects of corporate insurance (E&O / D&O, trust professional liability, commercial package, Financial Institutions Bond (Fidelity Bond), workers compensation, cybersecurity, etc.).Back-Up FunctionsBackup for various departmental functions, as needed;Backup for COO and Compliance, as needed.Education RequiredBachelor’s Degree in Accounting or Finance; MBA or CPA preferred;Holds FINRA Series 27 (FINOP) license (or willing to obtain).Experience RequiredTen plus years of experience in similar role at broker dealer, investment advisory firm, trust company or similar financial institution;Keen level of knowledge of financial accounting and reporting (GAAP), tax accounting and relevant industry rules;Prior management, leadership and supervisory experience;M&A, public company reporting and financial transactions experience helpful;Excellent strategic planning and innovation skills with a willingness to be part of the Company’s C-Level leadership team, helping to steer the firm into the future in a highly competitive industry;Special Skills RequiredStrong business acumen with excellent problem-solving, cognitive thinking and analytical skills;Strong computer skills with particular emphasis in accounting software packages and MS Office products;Ability to prioritize multiple projects and responsibilities and work under pressure with multiple deadlines;Highly ethical;Strong attention to detail and organizational skills;Excellent verbal, written and interpersonal skills with the ability to explain financial concepts and results to others;Ability to think and work independently as well as in a team environment;Self-starter with strong work ethic, enthusiasm, and ability to energize others;Ability to read and comprehend legal, financial, contracts and other technical documents;Ability to take initiative, implement new ideas and influence others to produce better decisions;Ability to develop and manage successful internal and external relationships.Salary200,000 to $275,000 base plus discretionary bonus optionBenefitsDunham offers a complete benefits package to full-time employees who regularly work more than 30 hours per week. Interns and temporary employees are not eligible for these benefits.Health & Welfare : Medical, Dental & Vision (choices vary by state);Life and AD&D Insurance (company paid);Short-Term & Long-Term Disability (company paid);Long-Term Care Insurance (company paid);Flexible Spending Plans (Medical and Dependent Care);Employee Assistance Plan (company paid);Domestic Partner benefits;Aflac;Other Great Benefits;401(k) Plan with generous company match;Employee Stock Purchase Plan;Paid Time Off (PTO) and Holiday benefits;Company-Sponsored Events. #J-18808-Ljbffr

Created: 2025-09-17