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COO

Naples, FL

Posted: 02/03/2025 Employment Type: Direct Hire Category: Wealth Management Job Number: a0CUm00002D5iWFMAZ Location Requirements: Onsite Industry: Financial Services

Job Description

Onsite

A family-owned wealth management firm, is seeking an experienced and strategic COO to oversee operations and compliance for its Registered Investment Advisor and Broker-Dealer functions. This role is pivotal in implementing operational efficiencies, ensuring regulatory compliance, and driving the firm's long-term vision. The ideal candidate will be a proactive leader with a strong understanding of financial operations, compliance regulations, and technology within the wealth management industry.

COO Responsibilities:

  • Develop, implement, and refine operational processes and compliance procedures for RIA and BD functions
  • Collaborate with the Board of Directors on strategic planning, staffing, and firm-wide initiatives
  • Organize and lead annual advisor retreats, including agenda creation, compliance and operations updates, and technology advancements
  • Oversee HR and technology needs, assisting with hiring, training, payroll, health insurance, and vendor management
  • Manage the firm s 401(k) plan and coordinate with payroll vendors
  • Supervise marketing efforts to ensure regulatory compliance and alignment with the firm s client-centric approach
  • Stay current on HR and compliance regulations, industry best practices, and emerging technology trends
  • Lead training initiatives for new hires and ongoing staff development
  • Attend and represent the firm at industry conferences
  • Act as the primary escalation point for operational and compliance issues across the firm s Naples and Rochester offices

COO Requirements:

  • 5+ years of experience in operations within an RIA and BD environment
  • Strong knowledge of RIA compliance and BD regulations
  • Proficiency in Excel and Microsoft Office Suite
  • Supervisory or management experience
  • Bachelor s degree preferred, but experience will be considered in place of a degree
  • Series 65 preferred
  • Experience managing HR, payroll, and benefits administration
  • Familiarity with eMoney, Smart Office, Morningstar, Visio
  • Strong leadership, organizational, and time management skills
  • Ability to interpret and communicate compliance regulations effectively
  • Experience in a small to mid-sized firm wearing multiple hats

Benefits:

  • Competitive salary based on experience
  • Employer contributions to a 401(k) with a profit-sharing bonus
  • PTO with sick leave and paid holidays, including a floating holiday
  • Health insurance with a percentage of individual premiums covered
  • Growth opportunities into advanced portfolio management roles
  • Bi-annual cost-of-living increases and long-term milestone bonuses

If you are an experienced operations and compliance professional looking for a leadership role in a dynamic and well-established wealth management firm, we encourage you to apply!

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About Naples, FL

Embrace new beginnings in Naples, Florida! Dive into our job listings to discover exciting career opportunities in this vibrant coastal city. Naples beckons with its pristine beaches, upscale shopping destinations like Fifth Avenue South and Waterside Shops, and a thriving arts scene with venues like the Artis-Naples cultural center. Indulge in the local cuisine featuring fresh seafood and farm-to-table dining options. With a rich cultural heritage, proximity to the Everglades, and renowned golf courses, moving your career to Naples means enjoying a mix of work and play like no other. Explore job opportunities in Naples today and unlock a world of possibilities!
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