It s time to take a PROACTIVE APPROACH to your CAREER.
Make your next career move now.
It s the truth, many jobs are filled before they are even posted. This is the case of who you know, not what you know. If you choose to partner with us, you re in luck because we know many hiring managers and have inside tracks with potential employers due to our many years of recruiting experience.
Let s get to know each other. Whether you reach out to us directly or you ve been referred to us by one of our satisfied candidates or employer-clients, we take the time to get to know you.
After you send us your resume, we ll ask you to come to our office for a proper meeting. We want to get to know you and understand your personality as well as get an idea of your work habits and preferences. This is a vital part of our interviewing process that helps us connect you with companies that are a good fit and vice versa.
We fill full-time and part-time positions and everything in between.
If working full-time doesn t fit with your schedule, you might be right for a variety of other positions that we help fill.
- Part-time
- Full-time
- Contract
- Permanent
- Contract-to-Permanent
- Consulting
We offer amazing benefits for our contract & temp-to-hire employees.
We recognize the hard work and dedication of temporary employees who are on assignment through Boutique Recruiting. Click here to see what type of benefits you may be eligible for.
- Part-time
- Full-time
- Contract
- Permanent
- Contract-to-Permanent
- Consulting
COO
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!
#LI-KL1
Share This Job:
Related Jobs:
About Naples, FL
Are you sure you want to apply for this job?
Please take a moment to verify your personal information and resume are up-to-date before you apply.