Job Description
Summitry is a Bay Area-based wealth management firm with over $3B in assets under management, 40+ employees, and more than 1,000 clients. We provide personalized financial planning and investment strategies rooted in deep local insight. As a flagship firm of Aspen Standard Wealth, Summitry is part of a broader mission to elevate independent investment advisory firms across the country. Join an innovative and collaborative team dedicated to becoming the most admirable investment advisory firm, helping families thrive amid the unique opportunities and challenges of life in the Bay Area.
- Reports to: Conor Wilkes (Chief Operating Officer)
- Benefits: Yes
- Status: Full Time/Exempt
- Date: Immediately
- Work environment: Hybrid – WFH 50%/month
Job Summary Summitry is seeking a high-integrity, execution-oriented leader to serve in a dual role as Director of Operations and Chief Compliance Officer (CCO). This individual will drive firm-wide operational excellence and play a critical role in promoting a strong compliance culture and ensuring compliance with applicable SEC rules and regulations. The ideal candidate combines strategic thinking with hands-on leadership, bringing a proven track record of managing cross-functional teams, streamlining operations and subject matter expertise from in-depth experience managing compliance programs in the wealth and/or asset management space. This role is central to scaling our firm, strengthening our operational foundation, and modernizing how we serve clients in a dynamic, high-growth environment while ensuring Summitry’s compliance with the ever-evolving regulatory landscape impacting registered investment advisers and mutual funds.
Duties And Responsibilities Operational Leadership - Oversee and enhance daily operational workflows, systems, and processes to support advisors and client service teams, to drive efficiency, scale, and best-in-class client experience Lead, coach, and manage the Client Service Specialist (CSS) and Trading teams
- Act as the primary escalation point for Financial Advisors, Business Development, and internal stakeholders
- Serve as the key relationship manager with custodians (e.g. Schwab, Fidelity), resolving operational issues and maintaining strong partnerships
- Standardize and document firm-wide operational processes, workflows, and service protocols
- Ensure excellence in client onboarding, account servicing, billing, reporting functions and operational accountability and responsiveness
- Partner with the COO to execute initiatives related to workflow design and service delivery
Compliance Responsibilities - Oversee the firm’s compliance program pursuant to the investment Advisers Act rules and regulations (“Advisers Act”), serving as the primary liaison with regulatory bodies, managing all audits, filings (including Form ADV, Form CRS, etc.), and examination responses—while also owning all SEC compliance reporting requirements related to Summitry’s mutual fund, GGEFX.
- Conduct annual compliance reviews, audits, testing, and risk assessment and monitor and test internal controls related to portfolio management, trading, billing, and client disclosures
- Create and update policies, procedures, and internal controls as necessary
- Provide compliance education and guidance across departments (Code of Ethics, personal trading, restrictions, etc.)
- Oversee marketing and communications compliance in accordance with the Advisers Act Marketing Rule, including review of client-facing materials, social media, and website content
- Partner with legal counsel and custodians to stay aligned with regulatory expectations and ensure leadership is kept informed about new requirements and potential risks
- Collaborate with operations, legal, investment, and client service teams to ensure compliance is embedded in daily workflows
Reporting & Administrative Responsibilities - Collaborate with the Salesforce Administrator to ensure data integrity and workflow efficiency
- Analyze data trends to proactively identify risks, inefficiencies, and opportunities for improvements
- Ensure compliance with all reporting obligations, including those required by regulators, custodial partners such as the Schwab Advisor Network and Aspen. Deliver timely and accurate reporting for internal leadership and external stakeholders, including private equity partners.
- Enforce firmwide standards for:
- Document naming conventions and storage
- Salesforce case/task handling and documentation
- Data hygiene and systems maintenance
- Optimize internal processes related to forms, client document workflows, and routine tasks
Qualifications - 7+ years of experience in operations at an SEC-registered RIA or financial services firm
- 5+ years of direct experience as a CCO or senior compliance leader in an SEC regulated investment advisory firm
- 4+ years of experience leading high-performing teams, with demonstrated success in coaching, development, and performance management
- Bachelor’s degree required
- Deep knowledge of Advisers Act rules and regulations, custodial platforms, financial operations, best practices; proficiency with Salesforce, reporting tools, and workflow design
- Strong analytical, communication, and project management skills
- Proven ability to navigate complexity with sound judgment, integrity, and a proactive mindset Thrives in a fast-paced, entrepreneurial, and client-centric environment
Salary And Benefits - The expected base salary for this position will range from $160-200K plus eligibility (after 6 months) for a bonus based on successfully completing metrics. Actual compensation may vary from posted base salary depending on your confirmed job-related skills and experience.
- Medical, dental, and vision coverage, Flexible Spending Account/Health Savings Account and 401K plan
- More details:
Company Culture And Values At Summitry, our mission is to help families thrive through the unique set of opportunities and challenges posed by life in the Bay Area. (Translation: we help you live your best Bay Area life).
Our core values are the most important aspect of our culture. They reflect the values of our leaders and people, and we are committed to pursuing them daily. Our culture reflects our values in the way we treat each other:
- CARE – we care for each other, our clients, and our community
- GROW – we have an intrinsic desire to grow ourselves and our firm
- DRIVE – we are fiercely driven to achieve our goals and those of our clients
While having an impressive resume is a plus, Summitry strives to find not only top talent but the “right” talent. We’re proud of the culture we’ve built, and we seek individuals who are not only excited about their role and responsibilities but also demonstrate our values and desire to contribute towards the growth of our firm.
Summitry, LLC is an Equal Opportunity Employer
Job Tags
Full time, Local area, Immediate start, Flexible hours,