Wealth Operations and Compliance Manager | Northbrook, Illinois

Reference Number: HRJ7297
Location: Northbrook, Illinois

Judson Group has partnered with a $2B RIA in Northbrook to help them add a Wealth Operations and Compliance Manager to their growing firm. The ideal candidate has at least 5 years of relevant operations and compliance experience, ideally within an RIA or similar firm. The Wealth Operations and Compliance Manager will work closely with the COO/CCO and integral team members to take over daily operations pertaining to the firm’s performance reporting systems and client information, technology platforms, human resource functions, compliance, and all other operational functions.

This is an excellent opportunity to join a growing firm with a strong reputation, helping to spearhead operations and compliance. There is a strong growth path for this individual long-term as well as the ability to grow and take on additional responsibilities quickly. This person could quickly become a thought leader in the firm, helping to achieve efficiency in operations and compliance by leveraging technology, processes, and procedures.


  • Develop and implement best-practice processes related to the firm’s operations and in support of the firm’s other departments including client data, employee changes, and investment functions including portfolio accounting and trading
  • Overall responsibility for business operations including vendor relations, service contracts maintenance, technology support, etc.
  • Work with CCO to take over compliance duties.
  • Responsible for all performance reporting, billing, and back-office procedures.
  • Develop strong networks and relationships among stakeholders and all members of the firm to create operational efficiencies.
  • Assist in development and implementation process in support of human resource functions.


  • 5+ years of operations experience required; 3+ years within financial services preferred.
  • Experience at a Registered Investment Advisor (RIA) highly preferred.
  • Bachelor’s degree required; advanced degree and/or designations preferred.
  • Proficiency in Excel required
  • Knowledge of basic financial services operational functions, terminology, and software.
  • Superior management and collaboration skills including the ability to influence and engage direct and indirect reports and peers.
  • Organized and detail oriented while managing and prioritizing multiple tasks simultaneously.

Competitive base salary, bonus, and benefits

Northbrook, IL/Downtown Chicago, IL

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