Finance role
RIA (Registered Investment Adviser) COO / Chief Financial Officer (CFO) Search Firm
No postings. No stacks of resumes. No chasing. You interview a short list.
Financial Headhunters: Establishing operational guardrails and managing balance sheet resources for advisor support services.
This is what we do all day: recruit accounting, finance, banking and insurance professionals.
No upfront fee. You pay only if you hire.
Need someone now? Call 305-306-4829.
We offer a candidate replacement guarantee on standard search agreements. The applicable period and exact terms are set out in the signed client recruiting agreement.
- Controller
- CFO
- VP Finance
- FP&A Director
- Accounting Manager
- Director of Accounting
- Assistant Controller
- Tax Director
- Treasury Manager
- Internal Audit Director
- Senior Accountant
- Financial Analyst
- Head of Financial Reporting
- Commercial Lender
- Chief Credit Officer
- Business Systems Finance Lead
- No upfront fee
- Pay only if you hire
- Accounting, finance, banking and insurance
- We reach people who aren’t on job boards
- Replacement terms on standard searches
01
What does this hire really come down to?
This person manages the intersection of finance and compliance. They translate regulatory requirements into operational workflows. They control the budget, handle vendor contracts, and oversee firm financial reporting. They establish the structure required for advisor operations.
They set the guardrails for operations. Ask them how they manage an SEC audit. Ask how they reconcile accounts when automated systems fail. Ask what specific controls they implemented in their last firm to reduce operational risk. If they cannot describe their day-to-day oversight of custodial relationships, they will struggle here.
You require a partner who identifies high-risk initiatives and denies them. They must maintain control over operational liability and prioritize risk reduction. Their work involves managing the firm's balance sheet while providing the necessary resources for advisors to support high-net-worth accounts.
When scoping this role, force candidates to define their exact process for managing a transition to a new custodial platform. Ask for concrete examples of how they handled a specific SEC audit deficiency or a significant breakdown in account reconciliation. Do not accept general process descriptions. If they cannot provide a timeline of steps taken, resources allocated, and project outcomes, they do not meet the requirements for this position. Ask how they balance the friction between advisory revenue goals and necessary compliance oversight. Look for evidence of specific software implementations that directly reduced manual data entry. You must verify their ability to own the P&L through examples of budget reallocations they personally directed. Test them by presenting a hypothetical conflict between an advisor and a compliance constraint. Demand they explain their decision framework regarding risk mitigation versus firm growth.
- 01What specific software have you integrated to automate the billing of AUM fees?
- 02Describe a time an SEC audit uncovered a gap; what was your step-by-step remediation?
- 03How do you resolve a conflict between the growth goals of the advisors and the compliance constraints of the firm?
02
What do we check before you see anyone?
Financial oversight capability. We verify their experience managing P&L for a financial firm.
Regulatory history. We obtain background data to confirm there are no public disciplinary records.
Operational depth. We confirm their familiarity with custodial platforms used for HNW assets.
Compliance mindset. We test their knowledge of current SEC requirements for investment advisors.
Team integration. We confirm they have experience working directly with partners and advisors.
Reporting accuracy. We review their history in producing auditable financial statements.
- 01Check 1P&L management history.
- 02Check 2Regulatory record audit.
- 03Check 3Custodial platform proficiency.
- 04Check 4SEC compliance expertise.
- 05Check 5Advisor team collaboration.
- 06Check 6Financial statement accuracy.
03
Where do we find them?
We look for candidates in established RIA firms, family offices, and bank-owned wealth management divisions. We target professionals currently in mid-to-senior operations or finance roles. They move when their current firm lacks the growth trajectory they need or when a consolidation event triggers a change in leadership structure.
We also source from audit or consulting firms that focus on financial services. These people look to move when they want to own the operations of a single firm rather than consult for many. We prioritize candidates who have successfully managed the transition of a firm from manual processes to integrated software solutions.
- 01Candidates in established RIA firms looking for higher autonomy.
- 02Professionals in large financial institutions seeking a smaller environment with more influence.
- 03Consultants from industry-specific firms wanting a permanent operational role.
04
Which hiring mistakes should you watch for?
Common errors often arise during the interview process.
These specific issues often lead to bad hires.
Focus on these three points to avoid common pitfalls.
- 01Prioritizing high-level strategy over the ability to manage the mundane daily reconciliation of accounts.
- 02Hiring someone from a firm with vastly different scale who cannot adjust to your specific resource level.
- 03Ignoring the lack of experience with the specific custodial software and reporting tools you use daily.
05
The search in three steps
We start by identifying firms similar in scale and structure to yours.
We vet candidates against your specific operational challenges.
We present qualified candidates for your review.
- 01Targeting candidates from firms with comparable AUM and compliance requirements.
- 02Conducting deep-dive interviews focusing on operational and financial problem-solving.
- 03Presenting a shortlist for your final evaluation and selection.
How your RIA COO / CFO search runs
How does The Six-Step Search work?
One sequence, from a well-defined seat to a shortlist you can judge.
Search Calibration
We start with a call about the seat, the books, the owners and the people the hire will work with. We learn what the role must fix in the first year and what would make a candidate wrong even if the resume looks right.
You get: A written search brief: scope, must-haves, deal-breakers and the pay range, agreed with you.
Market Mapping
We map the companies and institutions where the right people already work: similar size, similar ownership, similar complexity, in your market and in others.
You get: The target list of companies and institutions we will search, reviewed with you before outreach.
Professional Contact Intelligence
We find direct ways to reach the people on the map. Most are employed and not reading job boards, so reaching them takes real research.
You get: Direct routes to people who are not on job boards, researched for your search.
Persistent Personalized Outreach
We call and write to people individually and follow up. Interest varies, so we discuss the actual opportunity rather than promising a particular response.
You get: One-to-one conversations about your actual role, followed up, never a mass email blast.
Live Candidate Qualification
We speak with every candidate before you do. We check scope, systems, reporting lines, compensation expectations, location and why they would move.
You get: Only candidates we have spoken with, checked on scope, systems, pay, location and motive.
Candidate Intelligence and Process Support
You receive a short written brief on each finalist covering what they have done, where they are thin and what they want. Then we help with interviews, references and the offer.
You get: A short written brief on each finalist, plus help with interviews, references, counteroffer risk and the offer.
Questions people ask
Do I pay you before you find a CFO who translates regulatory burdens into workflows?
No upfront fee. You pay only if you hire.
Is there a cost to begin the search for a CFO who oversees vendor contracts?
No upfront fee. You pay only if you hire.
Do you handle interim or fractional executive needs?
No, those needs are referred to the Interim Executives team. We focus on permanent placements.
Do you provide a replacement period?
If a candidate leaves within the agreed period, we will search for a replacement according to the terms of our signed agreement.
Do you employ or insure the candidates you present?
We do not employ, pay, or insure any candidates. The hiring firm is responsible for all employment agreements and insurance coverage.
How soon will I see a RIA COO / CFO shortlist?
It depends on the seat, the location and the pay. We give you an honest read after the calibration call and we do not promise dates we cannot control.
What about counteroffers on a RIA COO / CFO hire?
We ask every RIA COO / CFO candidate early why they would move and what their employer might do to keep them. Counteroffer risk goes in the written brief before you make an offer.
What don't you do?
We do not post your RIA COO / CFO job and forward whoever applies. We do not send stacks of unscreened resumes, and we do not recruit outside accounting, finance, banking and insurance.
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Tell us about the seat.
No upfront fee. You pay only if you hire.
We offer a candidate replacement guarantee on standard search agreements. The applicable period and exact terms are set out in the signed client recruiting agreement.
Not ready to start a search?
Get a practical read on the talent market or the job description. No fee or obligation.
What does the published pay data show?
Ask us for a current range. There is no reasonable SOC wage match shown for this title.
Source: U.S. Bureau of Labor Statistics, Occupational Employment and Wage Statistics, May 2025. Released 2026-05-15. This is not a separately measured salary for this exact title.
Read the full salary guide