Director of Operations and Chief Compliance Officer (CCO)

About the Company

Prominent wealth management firm

Industry Financial Services

Type Privately Held

About the Role

The Company is seeking a Director of Operations and Chief Compliance Officer to join its leadership team. The successful candidate will be responsible for overseeing the daily operations, optimizing efficiencies, and implementing the strategic vision for the firm. This includes ensuring full compliance with all regulations and standards, maintaining risk management and internal controls, and leading initiatives to create a consistent and efficient client experience. The role also involves managing HR functions such as recruitment, onboarding, company culture, performance management, training, and reporting.

Applicants must have a background in RIA compliance and strong management experience. The position is pivotal in the company's structure, with a clear path to the COO role and equity ownership. The ideal candidate will be adept at performing audits, reviews, and regulatory reporting, and will be instrumental in the firm's growth and development. The role is particularly suited to individuals who are proactive, detail-oriented, and have a proven track record in a similar capacity.

Travel Percent Less than 10%

Functions

Finance Operations