Job Description

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.