Job Description

Job Description

We are in search for a Chief Operating Officer (COO) to join a fee-based RIA with $2B billion AUM and a dedicated team of 40 professionals.

Candidate must have experience implementing systems and processes within a wealth management firm using Entrepreneurial Operating Systems (EOS) principles.

Your Impact

As our COO, you will be responsible for driving operational excellence across the firm while supporting ambitious growth goals (30%+ YOY). You will architect the systems, processes, and leadership development necessary to scale efficiently, ensuring seamless collaboration and superior client experience.

This position blends strategic leadership with hands-on execution — transforming high-level vision into measurable, operational reality.

Key Responsibilities

Business Improvement Strategist

• Partner with the CEO and executive leadership team to refine long-term strategic vision and implement the operational roadmap.
• Design scalable operational frameworks that support organic growth.
• Anticipate scaling challenges and proactively develop solutions that safeguard efficiency and service quality.
• Lead cross-functional initiatives to drive firmwide efficiency, alignment, and innovation.

Operational Excellence Leader

• Oversee day-to-day operations with clear accountability metrics aligned to firm strategic goals and the Entrepreneurial Operating Systems (EOS) principles.
• Redesign and implement policies, procedures, and systems to improve scalability, productivity, and transparency.
• Translate strategic objectives into actionable plans with measurable outcomes.
• Collaborate with department heads to identify process improvements and enhance technology utilization.

People Development Manager

• Mentor and develop leaders and managers to foster a culture of accountability, excellence, and continuous improvement.
• Enhance engagement strategies to strengthen morale, retention, and alignment with firm values.
• Develop systems to attract, retain, and grow top talent aligned with our mission and culture.
• Oversee performance management and compensation structures that reinforce results and collaboration.

Technology Enablement Strategist

• Lead technology assessment, selection, and implementation across all departments to ensure seamless integration.
• Identify and deploy technology solutions that improve efficiency and client experience.
• Stay ahead of wealth management technology trends and introduce innovative operational solutions.
• Ensure the firm’s technology infrastructure supports secure, compliant, and scalable workflows.

Risk & Compliance Implementor

• Partner with the Chief Compliance Officer to maintain and strengthen regulatory compliance frameworks.
• Implement operational safeguards, internal controls, and monitoring systems for mission-critical processes.
• Balance firm growth objectives with the highest standards of operational integrity.

Qualifications

Experience & Education

• 15+ years of progressively responsible operational leadership experience, preferably within RIA or broker-dealer environments.
• Bachelor’s degree in business, finance, or a related field required, MBA or equivalent preferred.
• Advanced certifications (CFP®, CFA®, or CPA) a plus.

Knowledge & Skills

• Demonstrated success building and scaling operational systems during high-growth phases.
• Strong knowledge of SEC/FINRA regulatory requirements and RIA compliance operations.
• Proven record of leading teams through organizational change and performance improvement.
• Excellent communication, leadership, and relationship-building skills across all levels.
• Proficiency with key industry technology platforms such as Orion, Salesforce, Nitrogen, MoneyGuide Pro and HubSpot.

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