WHO WE ARE:Adams Chetwood Wealth Management was founded almost 30 years ago under the Wachovia/Wells Fargo umbrella. In 2015, our four person team left the wirehouse and formed an independent Registered Investment Advisory firm. In this small business environment, we enjoy a close knit culture based on our shared company values, our dedication to treating our clients like family, and a commitment to employees’ personal and professional development. We support the growth of our team toward greater responsibility and new opportunity. We all enjoy coming to work every day because we know the end goal of everything we do is to "guide our clients to financial peace of mind.” In short, we love helping people and working together to make that happen.
WHO YOU ARE:Our ideal Director of Operations/CCO loveshelping clients, leading a team, and desires a long term career in the wealth management industry. You are poised and polished in dealing with high net worth clients and have excellent communication skills. You enjoy utilizing your exceptional organizational and problem-solving skills to solve client issues, keep the internal business systems on track, and improve business processesthrough lean principles.
You have a fanatical attention to detail and have high standards of excellence for yourself and for your team. You are comfortable being fully accountable for the client service delivered by your department and have a hunger to proactively improve your domain.As a leader with experience, you demonstrate outstanding initiative and are able to find answers and solve problems on your own.
You understand the weight of dealing with a family’s life savings, and to that end, you let nothing slip through the cracks in the operations or service delivery process. Finally, you are always humble, and a true team player, and as such, you embody the firm values of continuous improvement, wisdom, ownership, family and stewardship.
JOB SUMMARY:TheDirector of Operations/Chief Compliance Officerisintegral to our clients’ financial success and the success of our organization. In this role, you will lead and manage ateam to service the needs of high net worth clients.As a member of the leadership team, you will advise on how to continuously improve operational strategy. You will administer, improve, and design business processes and procedures to create a repeatable, red carpet service experience for our clients. The Director of Operations/CCO will also handle complex operational needs for clients and will proactively work with the firm’s custodian to make the client experience seamless. You will also be responsible for proactively training and coaching operations staff to enhance their knowledge, skills, and service delivery.
The Director of Operations/CCO will also oversee the RIA and broker dealer compliance. This position will lead the Compliance department and oversee all compliance and regulatory interaction and audit functions. Responsibilities include working with the firm's attorney/compliance consultant to develop and maintain policies and procedures and oversee the overall design/maintenance of the advisory services compliance program. The CCO will also be responsible for ensuring that Adams Chetwood reporting complies with regulatory requirements as well as firm policies and supervisory procedures.
70% - Director of Operations
Report to the Managing Partner and oversee all administrative and operational client service support.
Improve existing operational systems and implement new systems as needed to increase service quality, efficiency, and firm profitability.
Lead and manage a team of Client Associates to ensure excellent and consistent service levels, ensuring timely resolution of customer issues, and prompt client follow up
Oversee all operational duties including new account processes, updating accounts, processing transfers, processing disbursements and deposits, data reconciliation, reporting, etc.
Manage the professional development and training of all operations and compliance staff
Verify accuracy of solutions delivered from non-client facing teams before delivery to clients.
Oversee the updating of financial reporting and contact management systems to maintain data accuracy and integrity
Oversee the technology infrastructure and manage third party relationships (i.e. custodians, vendors, and technology providers)
30% - Chief Compliance Officer
Act as our appointed SEC and FINRA regulatory liaison, managing regulatory audits and exams
Develop an overall strategic vision for the compliance program which effectively manages and mitigates risk, establishes proper controls, supports business initiatives and protects the company from legal and regulatory risk
Executes on strategic & consistent approaches to compliance reviews, issues and/or concerns to minimize the enterprise’s exposure
Oversees all departments to ensure compliance requirements are being met and proactively collaborates with other departments as needed to ensure compliance issues are addressed, investigated, and resolved
Minimum of Bachelor’s degree (preferably in Business Management, Economics, or Finance)
Series 7 license, CFP, ChFC,or WMSstrongly preferred
Minimum of 7 years’ experience in wealth management operations within an RIA context
Minimum of 3 years’ experience in broker-dealer and/or RIA compliance
Minimum 5 years’ experience managinga team in a broker-dealer or RIA environment
Knowledge of Securities Act of ‘33, Investment Advisers Act of ‘40, Investment Company Act of ‘40 and broad knowledge of various federal and state regulations
Familiarity with Charles Schwab RIA custodial platform and operational processes preferred
Proficient with Orion portfolio management software and Salesforce CRM software preferred
Proficient in Microsoft Office suite (Word, Excel, etc.) required
Strong general IT infrastructure knowledge preferred
Self starter and problem solver who is able toanticipate hurdles and design business processes accordingly
Passionate about helping people while displaying a warm and engaging personality in all interactions
Fanatical attention to detail with a track record of letting nothing slip through the cracks
Excellent ability to prioritize and manage several tasks at once
Outstanding ability to think on your feet and empathize with high net worth clients to resolve issues
Polished presentation skills with the ability to explain complex topics in a simplified manner to both team members and clients
Proven ability todelegate, manage, and train others to meet service expectations while maintaining the mindset of a servant leader
Excellent professional verbal and written communication skills with the ability to craft business communications free from punctuation and grammatical errors
Additional Salary Information: Salary is commensurate with experience?
Employees may earn quarterly bonuses based on firm wide goals and individual performance goals?
* Fully paid health insurance for employees?
* 401k with match and discretionary profit sharing??
* Paid vacation?
* Paid parental leave?
* Paid time off for volunteer/service projects?
* Paid FPA membership?
* Ongoing career development, including training/certification reimbursement?
About Adams Chetwood Wealth Management
Adams Chetwood Wealth Management was founded almost 30 years ago under the Wachovia/Wells Fargo umbrella. In 2015, our four person team left the wirehouse and formed an independent Registered Investment Advisory firm. In this small business environment, we enjoy a close knit culture based on our shared company values, our dedication to treating our clients like family, and a commitment to employees’ personal and professional development. We support the growth of our team toward greater responsibility and new opportunity. We all enjoy coming to work every day because we know the end goal of everything we do is to "guide our clients to financial peace of mind.” In short, we love helping people and working together to make that happen.