About the role

We are seeking a highly experienced, strategic, and process-driven Chief Operating Officer (COO) to lead our daily operations and execute our firm’s strategic vision. The COO will act as a key partner to the CEO and the executive leadership team, ensuring that our back-office, compliance, technology, and client service teams run with precision and scale effectively.

The ideal candidate brings extensive executive experience in the wealth management sector, embraces a "servant leadership" philosophy, and knows how to build the operational infrastructure necessary to support rapid organizational growth while maintaining our high standard of client care.

What you'll do

Strategic Leadership & Operations Management

- Partner with the CEO to develop, implement, and manage the firm’s strategic business plan and operational objectives.
- Oversee day-to-day business operations across multiple departments, including client onboarding, trading/portfolio operations, administration, and technology.
- Develop, refine, and enforce standard operating procedures (SOPs) to maximize efficiency and minimize operational risk.
- Establish Key Performance Indicators (KPIs) and utilize data-driven insights to measure operational success and team performance.

Compliance & Regulatory Oversight

- Collaborate closely with (or oversee) the Chief Compliance Officer (CCO) to ensure the firm adheres to all SEC, state, and NAPFA-registered regulatory requirements.
- Ensure operational workflows maintain the firm’s strict fiduciary, fee-only standard.
- Mitigate enterprise risk by continuously reviewing and updating operational safeguards and compliance protocols.

Team Development & Servant Leadership

- Champion a culture of servant leadership—prioritizing the empowerment, growth, and development of all team members.
- Directly manage, mentor, and evaluate department heads and operational staff.




- Drive cross-functional collaboration between operations, advisory teams, in-house CPAs, and administrative staff to ensure a seamless client experience.
- Oversee recruitment, training, and retention strategies within the operations departments.

Technology & Systems Optimization

- Evaluate, implement, and optimize the firm’s wealth tech stack (e.g., CRM, portfolio management, financial planning software, and billing systems).
- Drive technology integration to automate manual processes, scale operations, and improve reporting capabilities.
- Manage vendor relationships, negotiating contracts and ensuring third-party providers meet security and service standards.

Qualifications

- Experience: 10+ years of operational leadership experience in the financial services sector, with a minimum of 5 years in an executive role (COO, VP of Operations, or similar) within an RIA or wealth management firm.
- Education: Bachelor’s degree in Business Administration, Finance, Operations, or a related field. (MBA or advanced degree preferred).
- Licenses/Certifications: FINRA Series 65 (or Series 7, 63, 66) strongly preferred. CFP® or CPA designation is a bonus but not required.
- Industry Knowledge: Deep understanding of SEC regulations, fiduciary standards, and the fee-only RIA business model.
- Technical Skills: Advanced proficiency with leading RIA technology platforms (e.g., Salesforce, Orion, eMoney, Tamarac, or similar tools).
- Leadership Style: Proven track record as a process-driven leader who leads by example and thrives in building scalable systems.

Compensation & Benefits

- Competitive Base Salary: $225k - $250k
- Performance Bonus
- Health Insurance: Comprehensive Medical, Dental, and Vision coverage.
- Retirement: 401(k) plan with company match.
- Paid Time Off: Generous PTO, paid firm holidays.
- Career development: Support for continuing education, licensing, and industry conferences.

📌 Chief Operating Officer (Ontario)
🏢 Falcon Wealth Planning
📍 Ontario