Chief Operating Officer

We are a $1B hybrid Registered Investment Advisor, with a deep client offering across wealth management, retirement plans, estate planning, tax efficiency, and corporate benefits. Our Partners launched the firm in 2017 and have been exponentially growing since. We are an innovative, client-centric firm that strives for perfection, goes out of our way to make every client feel like our only client, gives the extra 10% to heighten the experience, and treats clients like family. We want our clients to have peace of mind when working through their planning and investment strategies with us. Our firm has big goals and is high growth, so we look for individuals that have a natural growth mindset personally and professionally as well. We take good care of our people with an extensive benefits offering, Friday lunches, getting together at events, and always trying to be flexible to match our “family first” approach.

The Chief Operating Officer (COO) is critical to our current and future success, and we are seeking someone highly skilled and results-driven. Our organic growth has been strong, and we’re now focused on scaling our people, our systems, and our processes for the future. This is a unique opportunity to help build something meaningful within a firm. There are many responsibilities across the entirety of the business that you will touch. Ensuring an amazing team experience, white glove client experience, and optimizing our technology are top priorities. The existing team is strong, but they will look to you for support, decision-making, guidance on escalated issues and overall leadership. We are continuously looking for better ways to excel for our clients so you will be thoughtful and creative in continuing that effort. You will strategize with the President and implement the vision for the firm, acting as Integrator to his Visionary role. You will shield the President, Partners and Advisory Team from operational activities so they can focus on providing excellent advice to clients and expanding client relationships, as well as the business. You are able to inspire, you love to teach, and you are patient and calm when difficult situations arise. You are able to recognize when a decision needs to be made and help others to understand it, hold people accountable for their roles, push back and provide better direction, even with the leadership team. You believe in the power of the team and can be trusted. One of the key elements you provide is the ability to track all that falls to your plate and the rest of our team, to ensure that nothing falls through the cracks. You know how to get it done! This is the person that will thrive with us!

Strategic Planning & Execution

• Collaborate with the President and leadership team to develop and execute the firm’s strategic vision, ensuring alignment with long-term objectives.

• Monitor progress of strategic initiatives, providing regular updates to leadership on key performance indicators (KPIs) and operational outcomes. 

Team Experience Leadership

• Ensure excellent team experience for all, managing down and up

• Evaluate performance and training/resource needs for each team member

• Conduct 1:1 meetings with area leaders and debrief with President

• Facilitate communication, accountability, and efficiency between all teams

• Handle all employee issues, including hiring, training, coaching, clarifying roles and expectations, performance reviews, salary and bonus recommendations, managing PTO, performance improvement plans, and terminations

• Oversee the planning of periodic team-building events and activities, as well as meaningful surprise acknowledgments, perks, and gifts

• Help prepare for and facilitate team quarterly planning sessions and annual retreats based on EOS model

Client Experience Leadership

• Ensure excellent, consistent client experience based on company mission and values

• Oversee various new business initiatives like social media platforms, Facebook ads, email drip marketing campaigns, and coordination of classes

Compliance

• Continually train operations and advisory teams on compliance issues

• Ensure compliance with company policies and procedures

• Develop/implement new compliance procedures as needed, including cybersecurity and AI initiatives

• Serve as primary point of contact with compliance consultants

• Ensure timely completion and filing of all required compliance documents and submission of registration fees?

Technology Management

• Redtail – manage and own our CRM accuracy, usage, reporting, and continued development of templates, workflows, and any other automation

• Orion – manage and own how firm leverages Orion and integrates with additional technologies, to identify the most efficient processes

• Email management – manage several inboxes for monitoring and assigning tasks

• Website – ongoing maintenance and improvement

• Content management – manage blog, YouTube channel, and newsletters, leveraging partners as needed

• Additional technology and office equipment – primary contact for any issues that arise from phones, copiers, or any other systems utilized throughout the firm

• Continuously monitor technology for our industry to determine if there are opportunities to layer on and improve our systems, or potentially to shift to new technologies entirely

Finance, Vendor and Budget Management

• Ensure quarterly fee billing is accurately completed on the first business day of each quarter

• Review expenses at least monthly and discuss budget report observations with President

• Evaluate performance, further improve and integrate, hold accountable, negotiate fees and terms, and act as primary contact with all vendors, including but not limited to the following:

• Office supplies, equipment, cleaning, maintenance, utilities, and landlord

• Professional services (accountants, attorneys, recruiters, consultants)

• Bookkeeping, bill pay, and payroll

• Benefits (Insurance, 401K)

• IT services (hardware, email, cybersecurity, some software, phones, and internet issues)

• Software providers (Redtail, eMoney, Orion)

• Custodians (Schwab)

• Third Party Advisors (typically on investment side)

• Marketing/Advertising

• Insurance – E&O, Liability, Fire, Workers’ Compensation, etc.

Special Projects

• Head up special projects and additional responsibilities from time to time as needed

• This is a dynamic role that will continue to evolve, with much opportunity for future growth

Skills and Qualifications

• Bachelor’s degree in business administration or related field required; advanced degree preferred

• Minimum 5 years’ experience with independent registered investment advisor or broker-dealer

• Minimum 5 years’ experience in operations/client service management role

• Has or willing to obtain Series 65 license (required for compliance duties)

• Excellent verbal and written communication skills

• Superior knowledge of financial services, including industry regulations and legislative guidelines

• Technology savvy, proficient with Microsoft Office, can easily learn new software

• Familiarity with Schwab systems ideal

• Compliance, investment trading, and/or financial planning experience ideal

• Knowledge of EOS preferred (Entrepreneurial Operating System)

• Ability to streamline and implement new processes and team members’ roles to enhance efficiency, effectiveness, and accuracy, and support rapidly shifting business demands

• Team player – humble, hungry, and smart; willing to fill in for others’ duties when needed

• Open to feedback, driven to continually learn, improve, and grow themselves and the company

• Not afraid to make decisions and learn from mistakes; empowers others to make decisions

• Excellent leadership skills; successful at training, delegating, and holding others accountable

• Accomplished communicator able to express concerns, frustrations, have tough conversations, and provide honest feedback in a respectful manner, even when it’s hard to give

• Ability to diagnose problems quickly and proactively determine creative solutions
  

• Respectful, loyal, excellent listener, honest, and inspires trust in others

• Charismatic, genuinely loves people, good sense of humor, knows how to have fun at work while still being productive

• Organized, disciplined, excellent time management to prioritize many projects simultaneously