Chief Operating Officer – Wealth Management | Montpelier, Vermont

Reference Number: MHH7550
Location: Montpelier, Vermont

Judson Group has been retained by an independent, employee-owned investment management firm in the search for a Chief Operating Officer – Wealth Management. This individual will be responsible for overseeing various operational processes and procedures of the firm. The ideal candidate has experience managing team members across the various teams in the firm and is capable of developing and implementing the firm’s strategic plan. The ideal candidate will lead the Compliance Department and oversee all compliance and regulatory interaction and audit functions.


  • Develop and maintain policies and procedures and the overall design/maintenance of the firm’s Compliance Program.
  • Provide leadership and strategy to compliance, risk management, control and operations of the firm and ensuring that all operations and activities meet federal, SEC and state regulatory requirements.
  • Develop and refine strategic business operations.
  • Responsible for oversight of the firm’s financial position.
  • Creates comprehensive goals for performance and growth strategies.
  • Develops and documents the firm’s operational processes, procedures, and growth strategies.
  • Work to ensure maximum and efficient use of the firm’s technological resources.
  • Recognize areas of opportunities for improvement across the organization, including opportunities to boost revenue, reduce cost, and increase profitability throughout the organization.
  • Provide marketing direction and support to client-facing professionals.
  • Oversee the firm’s relationships with external resource providers & vendors.


  • A Bachelor’s Degree from an accredited college or university, JD, CFA, or CFP considered beneficial
  • Strong financial acumen.
  • 10+ years of compliance and operations management experience.
  • Must be comfortable with a variety of tech stacks and willing to adapt when necessary.
  • Organized and detail oriented while managing and prioritizing multiple tasks simultaneously.

Compensation: Competitive compensation, bonus, and benefits package.

Location: Montpelier, Vermont

Reference Number: MHH7550

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