About the role

We’re looking for a seasoned IT leader who can own governance, risk, and compliance for a modern Registered Investment Advisor (RIA) environment—without managing a large internal team. You’ll be the point person for policies, change control, vendor oversight (especially our MSP), and regulatory alignment (SEC/FINRA), ensuring our tech ecosystem is secure, efficient, and audit‑ready.

What you’ll do

• Own the policy lifecycle — Drive the creation, revision, and maintenance of IT policies, procedures, and documentation in close partnership with Compliance; champion adoption across the firm (10+ years of hands‑on ownership).

• Keep operations compliant — Ensure day‑to‑day IT practices align with SEC, FINRA, and cybersecurity requirements, translating regulations into pragmatic operational controls (2+ years).

• Run change governance — Lead and enforce IT change management: review/approve non‑standard software and hardware changes, distribution list updates, and security‑sensitive requests; uphold strong separation of duties and traceability (6+ years).

• Oversee our core application stack — Provide governance across Salesforce, Microsoft 365 (no tenant admin required), Zoom (administer), and RIA‑specific tools such as eMoney Advisor, Plaid, RIA Money Transfer App, and Airtable.

• Shape the roadmap — Partner with executive leadership to define the IT strategy and multi‑year roadmap; deliver crisp briefings and presentations to senior stakeholders (2+ years of exec‑level presentation experience).

• Lead MSP management — Hold our MSP accountable for cost, execution quality, and roadmap outcomes. Review agreements and SLAs, recommend/negoti­ate improvements, and conduct regular performance reviews and audits.

• Elevate our ecosystem — Evaluate and recommend technologies that strengthen security, increase efficiency, and improve compliance posture.

• Guide secure procurement — Coordinate with the MSP to assess, approve, and facilitate hardware acquisition aligned to business needs and security standards.

• Drive initiatives — Manage IT projects and implementation efforts in a fast‑moving, growth setting; prioritize outcomes, metrics, and continuous improvement (4+ years).

What you’ll bring

• Career snapshot — ~5 years as a hands‑on technologist (e.g., networking, systems, apps, security, help desk/desktop), ~3 years in IT management, and ~2 years with primary responsibility for governance, compliance, and risk.

• Operating model — No direct reports; excels at influencing and managing through vendors/MSPs to deliver results.

• Regulatory fluency — Consistent, practical application of SEC/FINRA frameworks within financial services or adjacent regulated environments.

• Communication & leadership — Executive‑ready storytelling, clear documentation, and the ability to translate complex requirements into action.

Nice‑to‑have extras

• WISP stewardship — Experience maintaining a Written Information Security Program and ensuring controls are enforced (strong plus).

• Audit leadership — Background leading IT audits, risk assessments, and security reviews; proven ability to close findings and harden controls.

Where you’ve thrived

Candidates from peer investment managers are encouraged to apply. Experience at firms like Rockwood Capital (or similar) is a plus, not a requirement.

Why this role is compelling

• A high‑impact, individual‑contributor opportunity with executive visibility

• Influence architecture and controls across a modern RIA application landscape

• Lead outcomes through MSP governance rather than managing a large internal team

Equal Opportunity Employer/Veterans/Disabled

Military connected talent encouraged to apply

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The Company will consider qualified applicants with arrest and conviction records in accordance with federal, state, and local laws and/or security clearance requirements, including, as applicable:

• The California Fair Chance Act
• Los Angeles City Fair Chance Ordinance
• Los Angeles County Fair Chance Ordinance for Employers
• San Francisco Fair Chance Ordinance

Massachusetts Candidates Only: It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.