Whitegate Investment Counselors, Inc., a registered investment advisory (RIA) firm located in Concord, NH, is seeking to add an Investment Operations and Compliance Manager to our growing team. This is a hybrid position with the potential to work remotely up to one day per week, after a minimum three-month training period. Thus, candidates must reside within commuting distance of our downtown Concord, NH office.
Our firm is a female-owned business, where all team members hold key decision-making roles, and service and relationships are our top priorities. We have been providing wealth management services to individuals, families, and small businesses for over thirty years. Our clients rely on us to be their most trusted, long-time advisor, as many of them have been with us for decades.
While all team members have defined roles, the size of our firm requires everyone to wear multiple hats and contribute directly to delivering excellent client service and value, while also advancing the firm’s overall growth efforts. We offer cross-training opportunities to help employees understand all aspects of our work and the processes we use. We care deeply about helping our clients, each other, and our community. Our office environment features a casual attire policy, a collaborative atmosphere, and ample time off to refresh and attend to personal matters outside the office.
Our small team is passionate about servicing, retaining, and growing our client base. As an RIA, we hold our fiduciary status in the highest regard and strive to deliver exceptional service to our clients while upholding compliance with various regulatory requirements. We value our client relationships and the trust they place in us above all else, treating them as if they were members of our own family.

EDUCATION AND EXPERIENCE

o Bachelor’s degree preferred (business-related field is a plus).
o 2+ years of direct investment operations, compliance, or relationship management experience, preferably in a financial services (broker/dealer, RIA, CPA, trust company) environment.
o Experience using Microsoft Office, CRMs, financial planning, and portfolio management software.
o Series 65 FINRA license is a plus and will be required within 6 months of hire date.

o Provide effective operations support to the Wealth Advisory team by assisting with transaction processing, billing, portfolio rebalancing, trading, and cash management.
o Manage the firm’s client data systems, including portfolio management system, CRM, spreadsheets (Excel), and custodian and trading platforms.
o Generate and distribute periodic reports to clients (annual, mid-year, and meetings).
o Manage workflows to ensure client requests are processed promptly and deadlines are met.
o Review and evaluate the firm’s current data systems and provide recommendations for process improvements and efficiencies.

Compliance and Regulatory

• Support the firm’s adherence to industry regulations and internal compliance policies and controls.
• Assist with regulatory filings and compliance reporting and collaborate with the firm’s CCO and external compliance consultants.
• Maintain and update the firm’s compliance records and documents, including Compliance Policy Manual, Risk Assessment, and compliance logs and calendar.
• Conduct periodic reviews and testing of client data to ensure compliance with regulatory requirements and firm policies.
• Stay informed about industry and regulatory developments, as well as cybersecurity threats.

o Deliver exceptional service to our valued clients, encompassing account setup, account maintenance, and seamless onboarding of new clients.
o Collaborate with the Wealth Advisory team to resolve client inquiries and provide timely responses.
o Maintain office facilities, manage equipment (including postage meters, copiers, etc.), and oversee supplies.