BCI - Brokerage Consultants Ltd.

Our Focus: Financial Services

We connect the right people with the right positions throughout the financial community.

  • Asset Management
  • Alternative Investments
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  • Broker/Dealers
  • Commercial Lending
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Brokerage Consultants - Financial Recruiting

Tap our resources.

They run deep. Since our inception we've kept our focus trained exclusively on the financial industry, and we've built a vast network of contacts in the process. Let us put those resources to work for you. We'll connect you with the most current job openings at the most desirable companies in Chicago or nationwide.

Job Order:

Job Type:

Investment Operations Executive (826-207)


Midwest RIA seeks an Advisory Operations executive responsible for leading
and managing all operations. The role serves as a member of the executive
team of the firm.

Serve on firm executive team
Develop and oversees all aspects of operations necessary to support the
products, services and programs of the RIA and broker dealer
Create and administer an overall Strategic Plan for the management of firms
investment operations. Investment operations includes trading, reporting,
billing, new account setup, client services, data analytics, etc.
The Strategic Plan must provide clearly articulated departmental goals which
include key projects and initiatives of the division, ideas for expanding
the use of technology, offering industry leading services, tools and
support, increasing operational efficiencies, projecting expense budgets,
cost saving opportunities and anticipated capital investment requirements,
along with the necessary controls and procedures to administer the plan on
an ongoing basis
Establish and implement operational standards, workflows and quantitative
objectives that work together to achieve the goal of increased customer
satisfaction and greater value creation
Manage all three of firmís custodial relationships
Remain informed on industry-leading technologies and provides thought
leadership and effective adoption of these technologies into firmís
investment operations. This includes identifying new and improved ways to
process business electronically, driving the adoption of electronic based
platforms and, where appropriate, incorporating the use of technology into
both the advisor and retail investor client experience and user interfaces
Attract, develop and retain staff by providing clear direction,
expectations, leadership, mentoring and coaching. This includes establishing
annual goals and incentives for direct reports along with performance
reviews for each team member
Lead the team via an overall focus on identifying and implementing process
improvements, removing operational barriers, driving efficiencies through
leveraging technology, ensuring service quality aligns with business
initiatives, and creating a culture of client advocacy

B.S. Degree (Finance, Management, Accounting or Business Administration
MBA a plus
Minimum of 10 years management experience working in a leadership and
operational/technology capacity in a registered investment advisor (broker
dealer experience is a plus)
FINRA licensing Series 7, Series 24, Series 63, Series 65 and Series 66
preferred but not required
Familiarity with various custodial platforms
Familiarity with trading and investment platforms
Strong working knowledge of SEC compliance (FINRA compliance knowledge is a
Proficient in key investment industry technologies and understands how to
incorporate into business processing and workflow
Possess prior experience and success leveraging technology to drive
efficiencies and enhancements
Strong leadership and execution skills Ė drive for results, resourcefulness
and sense of urgency with a track record of success in previous roles
managing and leading RIA (and broker dealer if applicable) operational
projects and initiatives

Asset Management // Broker Dealer