ProspectBlue
Chief Operating Officer & Chief Compliance Officer
ProspectBlue, Richmond, Virginia, United States, 23214
ProspectBlue
is partnered with a fast-growing, client-focused wealth management firm in
Richmond, VA
seeking a strategic and detail-oriented
Chief Operating Officer (COO) & Chief Compliance Officer (CCO)
to lead operations, compliance, and internal systems. This dual-role executive will report directly to the CEO and be instrumental in scaling the firm while maintaining operational excellence and regulatory integrity. The ideal candidate is detail-oriented, proactive, and capable of balancing strategic vision with hands-on execution. Experience with technology integration and onboarding is essential. Key Responsibilities: Operations & Administration Lead day-to-day firm operations, ensuring alignment with mission and service standards. Enhance internal workflows and foster clear communication across departments. Oversee vendor relationships, including contract renewals for custodians, technology providers, and service partners. Technology & Workflow Optimization Manage the firm’s technology stack, ensuring optimal use of core systems (CRM, financial planning, portfolio management tools, etc.). Identify and implement workflow improvements to drive efficiency and elevate client experience. Evaluate and onboard new technologies in line with strategic objectives. Human Resources & Team Development Lead HR functions including recruitment, onboarding, performance management, and compensation strategy. Foster a strong and inclusive internal culture. Provide professional development resources and training to support team success. Compliance Leadership (CCO Duties) Maintain and update compliance policies to align with SEC regulations and industry best practices. Oversee the compliance calendar, regulatory filings (e.g., ADV updates), and audit preparedness. Conduct internal compliance reviews and ensure proper documentation of firm activities. Lead compliance education and remain current with regulatory changes. Strategic Leadership Partner with the CEO and executive team on strategic planning and growth initiatives. Track and report on operational and compliance-related KPIs. Build scalable systems and teams to support long-term business expansion. Candidate Qualifications: At least 7 years of experience in operations, compliance, or executive leadership within financial services or a registered investment advisory firm. Bachelor’s degree required; advanced degree or certifications (e.g., MBA, CFP) preferred. Strong knowledge of SEC compliance standards and RIA operational best practices. Hands-on experience with platforms like Salesforce, Tamarac, EMoney, or similar tools. Proven leadership skills and experience managing high-performing teams. Excellent project management, communication, and cross-functional leadership abilities. What’s Offered: Competitive compensation with performance incentives. Full benefits package including health, dental, vision, and 401(k). Generous PTO and firm holidays. Ongoing professional development support. A collaborative, purpose-driven work culture.
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is partnered with a fast-growing, client-focused wealth management firm in
Richmond, VA
seeking a strategic and detail-oriented
Chief Operating Officer (COO) & Chief Compliance Officer (CCO)
to lead operations, compliance, and internal systems. This dual-role executive will report directly to the CEO and be instrumental in scaling the firm while maintaining operational excellence and regulatory integrity. The ideal candidate is detail-oriented, proactive, and capable of balancing strategic vision with hands-on execution. Experience with technology integration and onboarding is essential. Key Responsibilities: Operations & Administration Lead day-to-day firm operations, ensuring alignment with mission and service standards. Enhance internal workflows and foster clear communication across departments. Oversee vendor relationships, including contract renewals for custodians, technology providers, and service partners. Technology & Workflow Optimization Manage the firm’s technology stack, ensuring optimal use of core systems (CRM, financial planning, portfolio management tools, etc.). Identify and implement workflow improvements to drive efficiency and elevate client experience. Evaluate and onboard new technologies in line with strategic objectives. Human Resources & Team Development Lead HR functions including recruitment, onboarding, performance management, and compensation strategy. Foster a strong and inclusive internal culture. Provide professional development resources and training to support team success. Compliance Leadership (CCO Duties) Maintain and update compliance policies to align with SEC regulations and industry best practices. Oversee the compliance calendar, regulatory filings (e.g., ADV updates), and audit preparedness. Conduct internal compliance reviews and ensure proper documentation of firm activities. Lead compliance education and remain current with regulatory changes. Strategic Leadership Partner with the CEO and executive team on strategic planning and growth initiatives. Track and report on operational and compliance-related KPIs. Build scalable systems and teams to support long-term business expansion. Candidate Qualifications: At least 7 years of experience in operations, compliance, or executive leadership within financial services or a registered investment advisory firm. Bachelor’s degree required; advanced degree or certifications (e.g., MBA, CFP) preferred. Strong knowledge of SEC compliance standards and RIA operational best practices. Hands-on experience with platforms like Salesforce, Tamarac, EMoney, or similar tools. Proven leadership skills and experience managing high-performing teams. Excellent project management, communication, and cross-functional leadership abilities. What’s Offered: Competitive compensation with performance incentives. Full benefits package including health, dental, vision, and 401(k). Generous PTO and firm holidays. Ongoing professional development support. A collaborative, purpose-driven work culture.
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