Chief Operating Officer (COO)

Chief Operating Officer (COO)

About the Company

Premier broker / dealer & investment advisor

Industry

Financial Services

Type

Privately Held

About the Role

The Company is seeking a Chief Operating Officer (COO) with a strategic and entrepreneurial mindset to lead the firm's operations and technology. The successful candidate will be responsible for the overall management and growth of these functions, providing strong leadership to a dedicated team, and driving the success and growth of the organization. This role is pivotal in the implementation of an operations and technology strategy, particularly in the context of the firm's recent acquisitions and future expansion plans. The ideal COO will have a proven track record in operational and technology management, strong leadership abilities, and a deep understanding of project management and fintech opportunities.

Applicants for the COO position at the company should have a background in the independent broker / dealer space, with a preference for those with hybrid IBD / RIA operational experience. The role requires an individual with an entrepreneurial spirit, a competitive drive, and a willingness to embrace change. The COO will be expected to have a spotless compliance history, experience in engaging with clearing platforms, and a Bachelor's degree in business administration, finance, or a related field. An MBA is preferred, and the candidate should have or be willing to obtain FINRA S 24, with S 65, 66, and / or 99 also being preferred. The successful candidate will be a resilient leader, capable of operating effectively in a dynamic and growing organization, and will be responsible for ensuring operational efficiencies, process improvements, and the implementation of best practices.

Travel Percent

Less than 10%

Functions

• Operations