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About the Role
We are establishing a US capital advisory firm specializing in corporate finance transactions such as capital raising, M&A advisory, and strategic financing for lower and middle-market businesses. We seek a FINRA-registered executive to serve as the CEO and registered principal to lead this venture.
This is a foundational leadership position where you bring your registration and expertise to spearhead the business. As your co-founder, we support you by constructing the operational framework around your leadership.
Key Responsibilities
- Act as the CEO and registered principal with full control over all regulated activities.
- Manage client relationships including discovery calls, pitching, engagement letters, and deal supervision.
- Convert a pipeline of qualified prospects, generated through our proprietary outreach tools and deal team, into signed clients and revenue-generating engagements.
Partnership Structure
- You provide the FINRA registration, client-facing presence, and closing expertise.
- We handle outreach, pipeline generation, and the operational infrastructure including software and support teams.
Candidate Profile
- Former Managing Director, Director, or CEO at an investment bank, capital advisory firm, or similar institution.
- Active FINRA registration—Series 79 and 24 preferred; Series 7 and 63 also acceptable—with a clean BrokerCheck record.
- Proven expertise in corporate finance roles focused on investment banking, capital advisory, or related transaction areas.
- Demonstrable hands-on capital raising experience with specific closed deals including details on size, role, and outcomes.
- Credibility and presence as a firm’s face, capable of engaging clients and leveraging a strong network.
- Entrepreneurial mindset with compensation linked to deals closed.
Additional Information
This role is fully remote and commission-based. The successful applicant will lead business development while we provide the operational ecosystem from day one to ensure efficient firm functionality.