Wealth Plan Specialist Job Description / Posting
MLD Wealth, a growing wealth management firm, is seeking a Wealth Plan Specialist to assist us in our mission
of helping clients achieve their financial goals. This is your chance to play a key role in the future success of our
fast-growing organization!
“Become a member of one of the most respected teams in the wealth management industry. MLD Wealth
Management Group was recently named “Team of the Year”, have consistently been members of “The Presidents
Council” (top 30 of 1000 advisors), Nominated for Portfolio Manager of the year by WealthAwards, and recently
a Top40 under 40 by the IIAC in Canada.
Our mission at MLD Wealth is to Provide Peace of Mind to successful business people and their families for
generations to come. If you have a relentless, burning desire to succeed and share our vision, then we would
love to hear from you!
Position Specifications:
Chief Operating Officer
THE CANDIDATE:
ABC FIRM is currently searching for a Chief Operating Officer (COO) to join the firm. The
position of COO will work to develop and maintain effective, sustainable and profitable
business operations and finance functions for the firm as well as work closely with
management to direct, manage and oversee business strategy and firm-level projects
that impact firm success, team performance and client experience. This individual must
have industry experience in developing, improving and managing wealth advisory
operations and financial activities that will ensure streamlined processes throughout the
firm with an anticipation and appreciation of scalability for future growth. The
CFO/COO will also ensure implementation of systems, policies, and procedures and
provide support to the firm’s objective of a strong compliance culture.
The successful Candidate will be a seasoned Operations professional with welldeveloped leadership skills, a persuasive communication style and a solid track-record
of effectively working across an organization in the Independent Broker/Dealer arena;
experience in the RIA world also a plus. This individual must have a deep understanding
of the interdependence of technology, operations and client service and will masterfully
balance the requirements of each necessary to deliver a seamless experience.
The COO will be accountable for the following:
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Ensures that opportunities are afforded to staff to develop and maintain their skills
at the highest standards. Fosters, through mentoring and leadership, critical and
independent thinking skills and behaviors. Exercises full authority concerning hiring,
performance management, reviews, promotions, salary decisions and terminations.
Manages and produces financial reports and analysis for ABC. Presents annual
profit plan, with quarterly updates to Team Leaders and the Executive Committee.
© MLD Wealth |www.mywealthmanagement.ca
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RESPONSIBILITIES:
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Manages all activities related to NASD, SEC, state and federal regulatory reporting
for ABC. Ensures timeliness, accuracy, and thoroughness.
Operations:
Lead, develop and strengthen the operations and service team. Particular areas of
focus will include leadership and management, process efficiency and excellent
client service.
Work with the Management Team to develop and implement the firm’s overall
vision and strategy for the operations and service group, and clearly and concisely
communicate it throughout the company.
Increase the group’s impact by establishing the ability to be an effective partner in
business management to other areas of the organization.
Keep pace with the demands of a rapidly changing business by anticipating
problems, identify appropriate solutions and providing the leadership necessary to
effectively implement these activities across the operations and service area.
Ability to manage multiple tasks and projects simultaneously in a rapidly-changing
environment.
Team-building across the operations and service group and development of
management staff.
Handle escalated issues at an executive level.
Development of management staff and inspire top-level performance.
Strategic planning to address systemic issues as they arise.
Ability to set priorities and evolve independently in a fluid environment.
Oversee coordination and implementation of assigned business initiatives and serve
as primary liaison with outside consultants to manage priorities, work flow, and
successful relationships that drive performance improvements and promote longterm success.
Prioritize and allocate staff time to ensure adequate support is provided throughout
the firm on a timely basis.
Oversee functional business issues such as corporate insurance, facility
management, equipment management and business license issues.
Human Resources:
Communicate and implement the firm philosophy, procedures, standards of
practice and workflow.
Develop and maintain a training program for support staff personnel.
Ensure Employee Review process is designed and implemented in accordance with
federal and state labor legislation.
Set productivity and development goals for each staff person. Monitor results,
make adjustments and provide counseling or training as appropriate.
Conduct an annual review of employee compensation plan and benefits package;
interview vendors and provide recommend improvements as appropriate
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We offer a great working environment in a beautiful and professional office location.
This is your chance to play a key role in the continued success of our company. Our
culture is fast-paced, motivational, and focused on improving our client’s lives.
For more information about our company, please visit our website
www.mywealthmanagement.ca
If you’re interested in this opportunity, please send your resume and letter of interest to
[email protected]
Given the high demand for this position, we’re only able to contact the most qualified
candidates.
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PERSONAL
COMPETENCI
ES AND
ATTRIBUTES:
The ideal candidate will possess the following competencies and attributes:
 Minimum 8- 10 years in corporate accounting or finance experience, preferably within the
brokerage and/or Registered Investment Advisory field.
 Working understanding of NASD, SEC and State regulations governing securities and
insurance.
 Broad knowledge of all aspects of the brokerage financial functions.
 Superior problem solving abilities, as well as the ability to spot underlying patterns.
 Proven analytical and research skills.
 Ability to prioritize work schedule and meet deadlines.
 Ability to effectively delegate responsibilities and work assignments.
 Attention to detail and recognition of critical issues.
 Investment product knowledge.
 Customer service and interpersonal skills.
 Planning and organizational skills.
 PC skills, including knowledge of Microsoft Office.
 Time and project management skills.
 Written and verbal communication skills.
 Generally manages through subordinate supervisors.
 Sedentary Work: lifting a maximum of 10 pounds, frequent standing/walking.
 Ability to deal directly with diversified personnel from senior management to support
staff.
 Bachelor’s degree in accounting, finance or business administration or related field.
COMPENSATIO Competitive compensation will be offered. Details will be discussed at the appropriate time
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with interested, qualified candidates.
Company Website Address
ADDITIONAL For additional general information on ABC FIRM, please access the firm’s web site at
INFORMATION
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© MLD Wealth |www.mywealthmanagement.ca
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