Rapidly growing, boutique investment advisory firm seeks a Chief Compliance Officer/Chief Operations Officer to help build the company! Remote position reporting directly to the Chief Executive Officer!
The Position: Chief Compliance Officer/Chief Operations Officer
Compensation: $120k – $150k + bonus
MilSpec Talent is a boutique headhunting firm that helps our clients get connected with top talent in the industry. We work with mid-career, industry-experienced Veterans with 3-15 years of proven success in the private sector. For our contingency recruitment partners, we provide this value with minimal risk.
This position is for a boutique investment advisory firm that is looking for their next executive to help grow the firm, which manages over $425 million for wealthy private clients and institutions across the country. The COO/CCO role will be directly responsible for operationalizing the firm’s growth strategy, by overseeing all internal compliance processes and team development.
- 100% Remote!
- Competitive Compensation Package
- 100% Medical and dental insurance
- Personal leave
- Maternity and paternity leave
- Unrestricted opportunity to grow and shape the company
- Ideal candidates will have 10 years of mid-level leadership in finance
- 3-5 years of SEC compliance experience
- 3-5 years of JD preferred
- Strong systems orientation; excellent in time management and analytical problem-solving
- Excellent written and oral communications skills
- Proven capacity to multitask, deliver results and respond quickly and effectively to requests
- Servant leader mindset- high EQ and low ego
- Ensure the firm is abiding by all regulations (SEC, Federal, State, and local laws)
- Conduct annual compliance training with staff; maintain books and records IAW compliance manual
- Prepare for/pass all regulatory inspections of the firm
- Lead compliance training via pre-determined schedule
- Lead quarterly planning and financial meetings to determine objectives and priorities
- Plan and facilitate quarterly reviews of all staff
- Support weekly operational meetings by maintaining scoreboard of key metrics
- Facilitate quarterly training with Advisors and Operations
- Implement software (Salesforce) SOPs
- Support CEO in developing long-term strategy for the company
About MilSpec Talent
MilSpec Talent searches for exceptional veteran talent with proven leadership success and 3-15 years of private sector experience. Our candidates are hand-picked and carefully screened to demonstrate a history of building teams, shaping cultures, and driving results in both the military and civilian sectors. Many are from Service Academies and from the Special Operations community. Moreover, we assess values-based characteristics captured in our 5 Tenets: 1) "We" not "Me" Mindset; 2) Clear Character in Chaos; 3) Grit with Grace; 4) Self-Confidence through Self-Awareness; and 5) Continuous Growth and Adaptability.