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Form of workFinancial operational and compliance experts – let your best talents shine at our client's rapidly growing Registered Investment Advisor (RIA) team in the Pittsburgh market. Committed to a client experience that is second-to-none, this independent and dynamic firm is seeking a candidate with a background in financial services who is ready to take the next – and best – step in their career as a dedicated Operations and Compliance Lead.
With multi-faceted responsibilities in administration, operations, compliance, and client service, this role is for those who take ownership of their work. Subsequently, the Operations and Compliance Lead will have the power to develop and maintain the firm’s compliance framework and operational processes. Featuring the potential to advance to Chief Operations (COO) or Chief Compliance (CCO) Officer positions, this is a spectacular opportunity that your career has been waiting for!
- Help to develop and implement the firm's operational processes and procedures.
- Engage in operational client service tasks with Schwab.
- Oversee internal processes to enhance operational efficiency.
- Collaborate with office staff and external consultants for regulatory compliance.
- Handle various administrative and service-related tasks in a retail RIA setting.
- Minimum 5 years of experience in a similar role within an RIA or brokerage firm (strongly preferred).
- Series 65/66 or FINRA licensing (strongly preferred).
- BA/BS 4-year degree (strongly preferred).
- Clean industry compliance record.
- Strong interpersonal, communication, and leadership skills.
- Proficiency with core technology and ability to learn new software.
- Strong analytical and technical writing abilities.
Working Conditions:
- Office-based work in Monroeville, PA with partial remote work flexibility.
- Typical schedule of 40 hours per week.
- Business casual office dress code.
- Salary and bonus range of $60,000 to $85,000 per year, with higher thresholds for particularly qualified candidates.
- Full health benefits.
- 6% 401k match after one year.
- Other additional benefits.
Interested candidates should apply with a resume and cover letter detailing relevant experience and qualifications. Please highlight any experience working with Schwab and your ability to handle multifunctional roles in a fast-paced environment.
