Chief Operating Officer

3 weeks ago

Salt Lake City UT, United States Maetz Consulting, LLC Full time

I'm recruiting for a growing financial services firm, who is a leading Registered Investment Advisor (RIA), currently managing over $2B in assets. They are looking to hire a full-time Chief Operating Officer (CCO) to work out of their greater Salt Lake City, UT office. (Relocation assistance will be offered for the right candidate.) They are looking for someone who is excited and passionate about helping build something great that already has an established foothold in the marketplace.

Position Overview: As the Chief Operations Officer (COO) of the firm, you will play a pivotal role in driving operational excellence, efficiency, and scalability across all aspects of our business operations. Reporting directly to the CEO, you will oversee the firm's operations, technology, and infrastructure, with a focus on enhancing client service delivery, optimizing processes, and supporting strategic growth initiatives.

Responsibilities:

  • Operational Leadership: Provide strategic direction and oversight of all operational functions, including client onboarding, account maintenance, trading, portfolio reconciliation, and reporting, ensuring alignment with the firm's objectives, policies, and regulatory requirements.
  • Process Optimization: Identify opportunities to streamline workflows, automate manual tasks, and enhance operational efficiency through the implementation of best practices, technology solutions, and performance metrics.
  • Technology Integration: Evaluate, implement, and manage technology platforms, software applications, and digital tools to support the firm's operations, enhance client experiences, and drive innovation across the organization.
  • Risk Management: Develop and maintain robust risk management protocols, internal controls, and compliance procedures to safeguard client assets, mitigate operational risks, and ensure adherence to regulatory requirements.
  • Vendor Management: Manage relationships with third-party vendors, service providers, and technology partners, negotiating contracts, monitoring service levels, and ensuring compliance with service level agreements (SLAs) and security standards.
  • Team Development: Build and mentor a high-performing operations team, fostering a culture of collaboration, accountability, and continuous learning, and providing guidance and support to develop talent and enhance skills.
  • Strategic Planning: Collaborate with senior leadership to develop and execute strategic initiatives, business plans, and operational roadmaps that support the firm's growth objectives, enhance competitiveness, and drive long-term value creation.
  • Client Service Excellence: Partner with client-facing teams to deliver exceptional service experiences, resolve client inquiries and issues promptly, and maintain high levels of client satisfaction and loyalty.
  • Financial Management: Manage the operations budget, monitor expenses, and identify opportunities for cost optimization and resource allocation to maximize efficiency and profitability.
  • Compliance and Regulation: Stay abreast of regulatory developments, industry standards, and best practices governing the investment advisory industry, ensuring compliance with SEC, FINRA, and state regulations, and driving a culture of integrity and ethical conduct.

Requirements

Qualifications:

  • Bachelor's degree in business administration, finance, or related field; advanced degree (e.g., MBA) preferred.
  • Minimum of 10 years of experience in operations management, preferably within the wealth management or financial services industry, with a proven track record of leadership and achievement.
  • Deep understanding of investment operations, trading workflows, portfolio management systems, and regulatory compliance requirements, with a focus on operational risk management and control frameworks.
  • Strong leadership and people management skills, with experience in building and leading high-performing teams, driving organizational change, and fostering a culture of collaboration and excellence.
  • Excellent analytical skills, with the ability to identify operational inefficiencies, evaluate technology solutions, and implement process improvements that drive measurable results and enhance client experiences.
  • Proficiency in utilizing technology platforms, CRM systems, portfolio accounting software, and reporting tools to support operational workflows, data analysis, and decision-making processes.
  • Strong communication and interpersonal skills, with the ability to articulate complex ideas clearly and persuasively to internal stakeholders, clients, and external partners.
  • A strategic mindset with the ability to think critically, anticipate future trends, and develop innovative solutions that position the firm for long-term success and competitiveness.
  • Series 65 (or Series 7 and 66) license preferred; additional certifications (e.g., CFA, CFP, PMP) a plus.
  • Commitment to upholding the highest ethical standards, integrity, and professionalism in all aspects of the role.

Benefits Full benefits with the potential of stock options after 3 years based on KPIs being attained
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