Chief Operating Officer – Wealth

Overview

• Drive operational excellence for a leading wealth management team, ensuring efficiency and scalability.
• Develop and implement innovative systems to enhance client service and operational workflows.
• Collaborate with cross-functional teams to optimize client onboarding and servicing processes.
• Lead initiatives to improve operational performance and mitigate risks effectively.
• Establish service standards and operational rhythms to ensure consistent high-quality outcomes.
• Manage escalations and implement solutions to prevent recurring operational issues.
• Support complex client events with seamless execution and coordination.
• Create a scalable operational foundation to support team growth and expansion.

Key Responsibilities & Duties

• Organize and oversee workflows to ensure accountability across client servicing activities.
• Develop and implement repeatable processes to enhance efficiency and reduce operational risks.
• Analyze workflows to identify bottlenecks and drive measurable improvements.
• Collaborate with Operations, Compliance, and Technology teams to refine tools and policies.
• Train team members on internal platforms and standardize processes for optimal performance.
• Establish daily priorities, pipeline reviews, and escalation paths for operational tasks.
• Manage escalations for client-impacting issues and coordinate rapid resolutions.
• Lead execution for complex client events, ensuring high-quality outcomes and smooth transitions.
• Support client onboarding, account maintenance, and money movements with exceptional service.

Job Requirements

• Bachelor’s degree in a relevant field is required.
• Minimum 10 years of experience in wealth management operations or client service.
• Preferred 15 years of operational leadership experience within financial services.
• SIE, Series 7, and 66 certifications required or obtainable within the firm's timeline.
• Proven ability to enhance operational performance through strategic thinking and execution.
• Strong understanding of operational risk and compliance standards in regulated environments.
• Highly organized with excellent communication and problem-solving skills.
• Ability to manage competing priorities in a fast-paced, client-focused setting.
• Strong technology aptitude and ability to translate requirements into practical workflows.