Chief Executive Officer

Chief Executive OfficerThe United Group of Companies, Inc. – celebrating over 50 Years in business - is a full-service, vertically integrated leader in real estate development and management with over 50 years of industry expertise. Our mission is to develop, build, and acquire vibrant communities where our residents, investors, partners, and commercial clients feel welcome, connected, and fulfilled. Our commitment to innovation sets us apart and is evident in our award-winning lifestyle programs. We firmly believe that where you live, and work, should be an experience that enriches and improves your life. United Group provides a place to call home and a space where businesses thrive in all the communities we join.We have an immediate need for a full – time Chief Executive Officer to join MCM Securities, LLC, an affiliated FINRA-register broker-dealer with United Group out of our Corporate office located in Troy, NY. The responsibilities that are listed below are not all inclusive, however, they are indicative of the responsibilities performed by Chief Executive Officer:Executive Leadership & Strategic ManagementDevelop and execute the firm's strategic business plan, growth objectives, and long-term operating strategy.Establish and manage a pipeline of private placement opportunities and issuer relationships.Lead capital-raising initiatives and support the development of new revenue-generating business lines.Oversee annual budgeting, financial forecasting, profitability, and resource allocation.Establish performance objectives and accountability standards for the broker dealer.Collaborate with ownership on business expansion, organizational development, and potential equity or strategic partnership opportunities.Regulatory Supervision & FINRA ComplianceOversee the implementation and ongoing effectiveness of the firm's Written Supervisory Procedures (WSPs).Supervise registered representatives and other associated persons as assigned under the firm's supervisory structure.Ensure appropriate review and approval of private placement offerings, business activities, and securities-related communications.Maintain effective supervisory controls, documentation, escalation procedures, and compliance oversight.Support regulatory examinations, inquiries, and requests from FINRA, the SEC, and applicable state regulators.Oversee required supervisory meetings, annual compliance initiatives, and supervisory control testing in coordination with the Chief Compliance Officer and other designated personnel.Ensure that supervisory responsibilities are appropriately assigned, documented, and performed.Private Placement & Capital Markets OversightReview and approve issuer engagement letters, offering structures, and related transaction documentation within the firm's approval framework.Oversee the review of Private Placement Memorandums (PPMs), subscription documents, investor disclosures, and other offering materials.Ensure appropriate due diligence is completed and documented before securities offerings proceed.Review compensation arrangements, placement fees, conflicts of interest, and related disclosures.Oversee compliance with applicable Regulation D requirements and relevant FINRA rules, including Rules 5122 and 5123, as applicable.Ensure appropriate investor eligibility, suitability or Regulation Best Interest obligations, and other applicable investor-protection requirements are addressed.Promote consistent documentation standards throughout the offering lifecycle.Compliance, Risk Management & Regulatory ReportingWork closely with the Chief Compliance Officer (CCO), whether separately appointed or combined with another role where permittedSupport the firm's anti-money laundering (AML) program and oversight of applicable FINRA Rule 3310 requirements.Oversee appropriate risk assessments, compliance reviews, and remediation of identified deficiencies.Maintain an effective supervisory control framework and ensure required annual reviews and testing are completed.Review financial and regulatory reporting prepared by the Financial and Operations Principal (FINOP).Coordinate responses to regulatory findings and implement corrective action plans.Promote a culture of ethical conduct, regulatory accountability, and proactive risk management.Financial Oversight + Net Capital ManagementMonitor the firm's financial condition and compliance with applicable SEC net capital requirements, including Rule 15c3-1.Review monthly financial statements, operating results, cash flow, and regulatory capital calculations.Work with the FINOP to monitor regulatory reporting, including applicable FOCUS filings.Approve major expenditures in accordance with the firm's governance and approval policies.Maintain appropriate capital planning, liquidity management, and financial controls.Escalate potential financial or regulatory capital issues promptly to ownership and the appropriate control personnel.Business Development + Relationship ManagementSource and develop issuer mandates and private placement opportunities.Build and maintain relationships with issuers, investors, placement agents, and other capital markets participants.Recruit, develop, and retain qualified registered representatives.Expand the firm's distribution capabilities and strategic business relationships.Represent the firm at industry events, investor meetings, and capital markets conferences.Balance revenue growth and commercial opportunity with appropriate due diligence, disclosure, and risk controlsJob Overview + Requirements:Job Type: Chief Executive Officer, Exempt; $175k - $225k with an eligibility for revenue based incentives, transaction & equity participation with discretionary bonuses tied to profitability, EBITDA, business growth, and other agreed-upon performance metrics.Work Hours: Full – Time, Monday – Friday 8:00am – 5:00pm (additional hours may be required to meet the demands of the role and fulfil leadership responsibilities.)Physical Requirements: ability to sit for long periods of time.Preferred Education: Bachelor's degree in Finance, Economics, Business Administration, Accounting or related fieldRequired Licenses/Registrations: Maintains applicable FINRA licenses and registrations, including Series 24, Series 7, Series 63, and Series 66, as appropriate to the Firm’s business activities and regulatory requirements, with a satisfactory regulatory history and Form U4 disclosures consistent with the responsibilities and requirements of the position.Required Experience: 7 - 15 years of broker-dealer compliance, supervision, or related securities regulatory experience. Demonstrated experience with private placements and capital-raising transactions. Prior supervisory experience involving registered representatives, securities offerings, or broker-dealer operations. Strong working knowledge of Regulation D offerings and applicable securities laws and regulations. Familiarity with FINRA examinations, regulatory inquiries, supervisory reviews, and remediation processes. Experience collaborating with compliance, finance, operations, and other control functions. Demonstrated ability to develop business relationships and contribute to revenue growthQualities: Professional image compatible with United Group/MCM Securities – positive attitude, energetic, assertive. Demonstrates exceptional personal and professional integrity, a strong work ethic, and excellent verbal and written communication skills. Demonstrates exceptional financial and business acumen, sound risk assessment and escalation capabilities, strong regulatory judgment and supervisory discipline, and in-depth knowledge of private placements and capital markets. Exhibits strategic leadership, entrepreneurial initiative, and exceptional relationship management, and negotiation skills.Benefits + Time Off:Medical – Highmark BlueShield of Northeastern NY – 3 insurance plans with HSA options; eligibility 1 st of the month following 30 days.Dental + Vision – eligibility 1 st of the month following 30 days.Life Insurance – Company paid Basic Life Insurance Policy (1x Annual Salary) with additional Voluntary Life Plans; eligibility 1 st of the month following 30 days.401K Retirement Plan – Voya Financial; Employee Contribution Eligibility at 1 st of the month following 90 days; eligible for Employer Match after 1 Year of Service; up to 4% Company Match.Additional Benefits – Employee Assistance Program; United Concierge Medicine (24/7 telemedicine service, including Mental Health); Calm App premium subscription; Learning Care Group (childcare tuition discount); Dependent Care FSA; Tuition Assistance Program.PTO – Personal (24 Hours), Sick (56 Hours), and Vacation Time (80 Hours; escalated based on years of service up to 160 Hours); eligibility after 90