Chief Compliance Officer/ Director of Operations

Director of Operations / Chief Compliance Officer

1B AUM Independent RIA

Naples, Florida

Overview

Well-established, fee-based Independent Wealth Management Firm with 1B AUM in AUM seeks a Director of Operations/ Chief Compliance Officer to join the leadership team in Naples. Relocation package available.

Streamlined track to the COO role

Clear path to equity ownership

Highlights

• The role is open due to the retirement of the retiring COO/CCO
• Oversee daily operations, optimize efficiencies and scalability, and implement the strategic vision for a fee based RIA with 40 employees and two offices
• Ensure the firm remains in full compliance with all regulations and standards, in addition to maintaining risk management and internal controls; perform audits, reviews and regulatory reporting
• Lead initiative to create consistency across the client experience through the creation of a collaborative and efficient, team based system
• Manage HR including recruitment, onboarding, company culture, performance management, training, reporting and compensation/benefits.
• Competitive base compensation in the 150-200k range, plus bonuses. Excellent benefits package inclusive of health insurance and 401k.
• Clear track to equity ownership

Requirements:

• RIA Compliance background and strong management experience