Chief Operating Officer

To apply, send resumes to vicky@aspen-search.us

Chief Operating Officer (COO) for a wealth & financial management firm will oversee and optimize the firm’s operational strategy, compliance initiatives, and internal training programs. The ideal candidate is a dynamic leader with a strong background in private equity, private credit, or investment banking who can drive scalable growth while ensuring regulatory integrity and operational excellence. Direct Hire. Located in Ann Arbor.

Key Responsibilities:

Strategic Leadership & Execution:

• Collaborate with the CEO to develop and implement strategic business plans.
• Lead firm-wide initiatives to increase operational efficiency and scalability.
• Evaluate and implement new service lines, technologies, or client offerings.

Compliance & Risk Management:

• Implement and oversee regulatory compliance initiatives, ensuring alignment with SEC, FINRA, and other relevant authorities.
• Maintain internal controls and ensure firm-wide adherence to legal and ethical standards.
• Liaise with legal and compliance consultants as necessary.

Training & Development:

• Design and implement internal training programs for new and existing employees to promote regulatory awareness, client service excellence, and business acumen.
• Foster a performance-driven culture with continuous learning and professional development.
• Operational Oversight:
• Manage and improve the daily operations of the business, including finance, HR, IT, and client onboarding.
• Work cross-functionally to develop KPIs, SOPs, and reporting tools to support growth and transparency.

Private Markets Expertise:

• Apply knowledge of private equity, private credit, and/or investment banking to support investment strategy discussions and internal advisory processes.
• Collaborate with the investment team on due diligence, product development, and client-facing initiatives.

Qualifications:

• Bachelor’s degree in Finance, Business Administration, or related field (MBA or advanced degree preferred).
• 10+ years of progressive leadership experience, ideally within financial planning, private equity, private credit, or investment banking.
• Proven track record of leading compliance programs, operational transformations, and strategic initiatives.
• Deep understanding of financial regulations and risk management frameworks.
• Exceptional interpersonal, communication, and leadership skills.