Operations and Compliance Manager

Addison Group has partnered with an established, independent wealth management and investment advisory firm in Schaumburg, IL, to identify an Operations & Compliance Manager. This is a highly visible leadership role offering the opportunity to oversee both operational and compliance functions while working closely with the firm's managing partners. The company is looking for someone with a strong background in financial services who can lead a team, improve operational efficiencies, and help support the firm's continued growth.

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This position offers a hybrid work schedule, with in-office days Monday through Thursday and remote Fridays.
Key Responsibilities:Oversee the firm's operations and compliance functions, with responsibilities split approximately 50/50 between both areasManage and develop a team of two direct reports, establishing performance goals, conducting regular check-ins, and providing ongoing coaching and supportOversee daily operational activities, including client account maintenance, service quality, and internal processes, ensuring accuracy and efficiencyPartner closely with the Chief Compliance Officer to maintain and enhance the firm's compliance program and ensure adherence to SEC regulations and internal policiesAssist with regulatory filings, internal compliance reviews, annual compliance program assessments, and regulatory auditsCoordinate and conduct employee compliance training to promote awareness of regulatory requirements and company policiesIdentify opportunities to streamline operational processes, strengthen internal controls, and improve overall efficiencyCollaborate with financial advisors, investment teams, and senior leadership to resolve operational and compliance-related issuesMonitor operational performance, identify potential risks, and implement process improvements to support the firm's continued growthProvide hands-on operational support when necessary while maintaining primary responsibility for team leadership, oversight, and quality control
Qualifications:3+ years of experience in operations, compliance, or a combination of both within the financial services industryExperience working within a Registered Investment Advisor (RIA), wealth management firm, or investment advisory business strongly preferredStrong understanding of both operational processes and regulatory compliance requirements within the investment advisory industryKnowledge of SEC regulations, compliance programs, internal controls, and regulatory reporting requirementsPrevious people management experience preferred, including coaching, performance management, and team developmentExperience overseeing client account operations, client service processes, and xzbcwsv operational workflowsBackground working in a smaller or midsize financial services firm where responsibilities span multiple functional areas preferredDemonstrated ability to identify process improvements, strengthen operational controls, and improve efficienciesStrong communication and interpersonal skills with the ability to work closely with senior leadership, financial advisors, and clientsHands-on, player-coach mentality with the ability to balance management responsibilities and operational supportStrong organizational and problem-solving skills with the ability to manage multiple priorities independentlyBachelor's degree in Finance, Business Administration, Accounting, or a related field
Compensation:$120,000–$150,000 base salary, depending on experience10% annual bonus potential401(k) and comprehensive benefits package