Chief Operating Officer

Falcon Wealth Planning, Inc.•Ontario, CA

2d•$225,000 - $250,000

About The Position

We are seeking a highly experienced, strategic, and process-driven Chief Operating Officer (COO) to lead our daily operations and execute our firm’s strategic vision. The COO will act as a key partner to the CEO and the executive leadership team, ensuring that our back-office, compliance, technology, and client service teams run with precision and scale effectively. The ideal candidate brings extensive executive experience in the wealth management sector, embraces a "servant leadership" philosophy, and knows how to build the operational infrastructure necessary to support rapid organizational growth while maintaining our high standard of client care.

Requirements

10+ years of operational leadership experience in the financial services sector, with a minimum of 5 years in an executive role (COO, VP of Operations, or similar) within an RIA or wealth management firm.
Bachelor’s degree in Business Administration, Finance, Operations, or a related field.
FINRA Series 65 (or Series 7, 63, 66) strongly preferred.
Deep understanding of SEC regulations, fiduciary standards, and the fee-only RIA business model.
Advanced proficiency with leading RIA technology platforms (e.g., Salesforce, Orion, eMoney, Tamarac, or similar tools).
Proven track record as a process-driven leader who leads by example and thrives in building scalable systems.

Nice To Haves

MBA or advanced degree preferred.
CFP® or CPA designation is a bonus but not required.

Responsibilities

Partner with the CEO to develop, implement, and manage the firm’s strategic business plan and operational objectives.
Oversee day-to-day business operations across multiple departments, including client onboarding, trading/portfolio operations, administration, and technology.
Develop, refine, and enforce standard operating procedures (SOPs) to maximize efficiency and minimize operational risk.
Establish Key Performance Indicators (KPIs) and utilize data-driven insights to measure operational success and team performance.
Collaborate closely with (or oversee) the Chief Compliance Officer (CCO) to ensure the firm adheres to all SEC, state, and NAPFA-registered regulatory requirements.
Ensure operational workflows maintain the firm’s strict fiduciary, fee-only standard.
Mitigate enterprise risk by continuously reviewing and updating operational safeguards and compliance protocols.
Champion a culture of servant leadership—prioritizing the empowerment, growth, and development of all team members.
Directly manage, mentor, and evaluate department heads and operational staff.
Drive cross-functional collaboration between operations, advisory teams, in-house CPAs, and administrative staff to ensure a seamless client experience.
Oversee recruitment, training, and retention strategies within the operations departments.
Evaluate, implement, and optimize the firm’s wealth tech stack (e.g., CRM, portfolio management, financial planning software, and billing systems).
Drive technology integration to automate manual processes, scale operations, and improve reporting capabilities.
Manage vendor relationships, negotiating contracts and ensuring third-party providers meet security and service standards.