Chicago, IL
7/20/2021

Windward Recruiting has been engaged by an RIA that is in aggressive growth mode. They are looking to hire a Financial Services Chief Operations Officer that will help drive the successful outcome of RIA integrations and collaboration within Employee Benefits and Wealth Management.

The individual is responsible for providing leadership and managerial ownership of the firm’s day-to-day financial services operations including performance reporting systems, CRM, technology platforms, broker dealer relationship, portfolio management, M&A onboarding and integration and all other operational functions. The ideal candidate has managed the various facets of operations within an RIA/wealth firm.

Responsibilities

  • Provide overall leadership and managerial ownership of the firm’s day-to-day wealth management operations.
  • Implement best-practice processes related to the firm’s operations including portfolio accounting and trading.
  • Support of human resource functions including performance management, talent development, compensation, and administration matters.
  • Lead and mentor a team of associates including staffing and ongoing performance management.
  • Optimize the Black Diamond platform so it scales effectively in terms of being the core of tech stack covering trading, billing, business intelligence, reporting and other key RIA functions.
  • Responsible for all performance reporting, billing, and back-office procedures.
  • Develop strong networks and relationships among stakeholders and all members of the firm to create operational efficiencies.
  • Oversight of the main CRM platform, Salesforce, including data feeds, workflows, and reporting capabilities.
  • Key stakeholder in the Broker Dealer relationship.
  • Reporting management to provide accurate information to management deliverable content, requiring creativity and problem-solving skills.
  • Partner with the Chief Compliance Officer to implement compliance practices and provide oversight support.
  • Lead discussions in integrating firms with respect to operational functions and create solutions for transitions.
  • Recognize areas of opportunities for improvement across financial services, including opportunities to boost revenue, reduce cost, and increase profitability.

Requirements

  • 15 years operations experience within an RIA/Wealth Management Firm
  • Highly experienced with Mergers and Acquisitions within Investment Management
  • Bachelor’s Degree