IMPORTANT: You must apply though this link: You may need to copy and paste: https://ats.rippling.com/falcon-wealth-planning-careers/jobs/08ac83af-7753-4d79-ada5-9cc6e8e29c1d
About Falcon Wealth Planning
Falcon Wealth Planning is an award-winning, fee-only Registered Investment Advisor (RIA) headquartered in Ontario, California, serving clients nationwide. With approximately $2 billion in assets under management and an ambitious growth strategy, Falcon is on a path to become one of the premier independent wealth management firms in the country.
Our mission is simple: Help clients keep more, worry less. We believe exceptional financial planning starts with comprehensive, tax-focused advice delivered through a true fiduciary standard. Unlike traditional brokerage firms, we do not sell products or earn commissions. Every recommendation is made solely in our clients' best interests, providing objective guidance and complete transparency.
Falcon specializes in comprehensive wealth management, investment management, retirement planning, tax planning, estate planning, and financial planning for successful individuals, families, business owners, and retirees. Our advisors work collaboratively to deliver an exceptional client experience built on expertise, trust, accountability, and long-term relationships.
As we continue scaling toward $5 billion+ in assets under management, we are investing heavily in our people, technology, leadership, and operational excellence. We are building a high-performance culture where collaboration, continuous improvement, innovation, and client service are at the center of everything we do. Our team members have the opportunity to make a meaningful impact while helping shape the future of one of the fastest-growing independent RIAs in the industry.
If you're looking to join an organization that values excellence, embraces innovation, and is committed to delivering an unmatched client experience, Falcon Wealth Planning offers the opportunity to grow your career while helping clients achieve lasting financial success.
Role Overview
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.
Key Responsibilities
Strategic Leadership & Operations Management
- 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.
Compliance & Regulatory Oversight
- 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.
Team Development & Servant Leadership
- 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.
Technology & Systems Optimization
- 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.
Qualifications & Experience
- Experience: 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.
- Education: Bachelor’s degree in Business Administration, Finance, Operations, or a related field. (MBA or advanced degree preferred).
- Licenses/Certifications: FINRA Series 65 (or Series 7, 63, 66) strongly preferred. CFP® or CPA designation is a bonus but not required.
- Industry Knowledge: Deep understanding of SEC regulations, fiduciary standards, and the fee-only RIA business model.
- Technical Skills: Advanced proficiency with leading RIA technology platforms (e.g., Salesforce, Orion, eMoney, Tamarac, or similar tools).
- Leadership Style: Proven track record as a process-driven leader who leads by example and thrives in building scalable systems.
Compensation & Benefits
- Competitive Base Salary: $225k - $250k
- Performance Bonus
- Health Insurance: Comprehensive Medical, Dental, and Vision coverage.
- Retirement: 401(k) plan with company match.
- Paid Time Off: Generous PTO, paid firm holidays.
- Professional Development: Support for continuing education, licensing, and industry conferences.
Pay: $225,000.00 - $250,000.00 per year
Work Location: In person
