We are seeking a Chief Operating Officer to help scale a high-growth wealth management firm during a pivotal expansion phase. This role sits at the center of execution, responsible for building the operational infrastructure required to support rapid advisor growth, integrate acquisitions, and maintain a high standard of client experience and compliance.
Working in close partnership with the CEO and Parent Company leadership, this individual will translate strategy into systems, processes, and measurable outcomes across the firm.
What You Will Own
Scaling the Firm
- Build and optimize the operational infrastructure needed to support rapid advisor and client growth
- Establish KPIs, dashboards, and workflows that drive accountability and visibility across the organization
- Serve as the escalation point for firm-wide operational issues
Advisor Growth & Onboarding
- Design and implement a high-velocity onboarding model for new advisors
- Partner with leadership to support recruiting efforts and accelerate advisor productivity
- Build programs that improve advisor experience and retention during periods of change
M&A Integration
- Lead operational due diligence and post-close integration for acquisitions
- Ensure seamless transitions across systems, teams, and client relationships
- Coordinate cross-functional efforts across compliance, technology, and finance
Technology & Platform Strategy
- Own the firm’s technology roadmap across CRM, portfolio management, planning, and billing platforms
- Evaluate and implement tools that improve scalability, advisor productivity, and client experience
- Oversee vendor relationships and ensure data integrity and cybersecurity alignment
Compliance & Risk
- Partner with compliance leadership to maintain adherence to SEC and FINRA requirements
- Ensure supervisory structures scale alongside growth
- Maintain readiness for audits and regulatory reviews
Financial Operations
- Align operational spend with growth strategy in partnership with the CFO
- Oversee billing accuracy, advisor payouts, and revenue reconciliation
- Support financial modeling tied to acquisitions and organic growth
What We Are Looking For
- 10+ years of leadership experience in wealth management, RIA, or financial services
- Proven track record scaling operations in a high-growth environment
- Experience leading M&A integration and operational due diligence
- Strong understanding of the RIA regulatory environment
- Ability to build and lead high-performing teams across functions
- Technology fluency across fintech platforms and operational systems
Preferred:
- Experience with major custodians (Schwab, Fidelity, Pershing, etc.)
- Familiarity with CRM platforms such as Salesforce, Redtail, or Wealthbox
- Background in financial operations, trading platforms, or advisory infrastructure
- Advanced degree or relevant licenses (Series 7, 24, 63, 65, 66)
Why This Role
This is a rare opportunity to build the operational foundation of a growing firm from the inside. The COO will play a direct role in shaping how the business scales, integrates acquisitions, and delivers a consistent client and advisor experience.
You will be operating in a fast-moving environment where decisions translate quickly into impact.
What We Offer
- Competitive executive compensation with performance incentives
- Direct partnership with senior leadership at both the firm and Parent Company level
- A high-growth, entrepreneurial environment with real decision-making authority
- Full benefits package including health, dental, vision, and retirement plan
