Investment Operations and Compliance Manager

McLean Asset Management Corporation (McLean) is an established Registered Investment Advisor with more than forty years of history, managing approximately $1 billion in client assets. We are known for our retirement income expertise and for blending research-driven thinking with practical, client-focused execution. People who thrive here enjoy meaningful problem-solving, high standards, and a culture that supports professional growth.

We are seeking an Investment Operations and Compliance Manager who will oversee portfolio management, trading, and compliance functions across the firm. This mission-critical role supports our advisory team in delivering efficient, accurate, high-quality, tax-efficient investment management services to high-net-worth clients.

The ideal candidate brings both technical depth and a process-oriented mindset, and takes pride in getting the details right without losing sight of the big picture. This individual will oversee daily investment operations, including trade execution, cash management, performance reporting, and support the firm’s compliance efforts and ongoing oversight and reporting.

You will lead a capable team, including an Investment Associate and an Investment Operations Specialist, and play a key role in shaping how our investment infrastructure evolves as the firm continues to grow.

Overview

This position ensures client portfolios remain aligned with McLean’s investment strategies and that all trading workflows are executed with precision and consistency. Responsibilities include level 2 trade reviews, model updates, rebalancing, drift monitoring, and management of key operational workflows. We are looking for someone who builds structure, improves processes, and anticipates issues before they arise.

You will collaborate with advisors, interface with custodians and vendors, contribute to due diligence, and participate in the firm’s Investment Committee. The role also supports the Chief Compliance Officer by overseeing, testing, documenting, and continually enhancing compliance processes.

Investment Operations Responsibilities

• Approve/Execute all trades, including buys/sells, block trades, rebalances, and model-based implementations
• Manage trading workflows across custodial platforms (primarily Fidelity and Schwab)
• Implement ongoing model updates, cash management adjustments, and security substitutions
• Monitor portfolios for drift and proactively recommend or implement rebalances
• Coordinate with the advisory team to address portfolio-specific questions about investment strategy or implementation
• Collaborate with advisors and investment operations to support client onboarding, maintenance, and transactions
• Partner with firm leadership to refine internal processes and enhance the client experience
• Review cash levels, inflows/outflows, and required cash raises
• Coordinate with advisors regarding account-specific restrictions and customizations
• Ensure tax-efficient trades, minimizing impact to clients
• Help ensure best-execution standards, trade timing, and allocation accuracy
• Oversee the trading desk, data reconciliation, billing, and performance reporting functions
• Identify opportunities to strengthen automation, improve error-proofing, and enhance operational consistency across the investment function

Compliance Responsibilities

• Assist in the day-to-day administration of the Firm’s Compliance and Risk Management programs
• Maintain trade logs, audit trails, and compliance documentation
• Assist with regulatory compliance filings
• Help evaluate the adequacy and effectiveness of policies, procedures, and internal controls
• Investigate compliance issues as needed and report findings back to Compliance and senior management
• Perform general compliance and operational risk-related functions
• Participate in compliance-related projects and any ad hoc requests
• Work closely with the Chief Compliance Officer on testing, reviews, and ongoing enhancements to ensure the firm’s systems stay ahead of regulatory expectations

Desired Qualifications

• Active Series 65 or equivalent
• Experience in trading or portfolio operations within an RIA or custodial environment
• Strong understanding of portfolio management workflows, tax-aware trading, and model-based portfolio management
• Familiarity with ETFs, mutual funds, individual equities, fixed income instruments, and separately managed accounts
• Experience with iRebal, Orion, Eclipse, or institutional custodial platforms, especially Charles Schwab and Fidelity
• Prior supervisory or team-lead experience
• High attention to detail, accuracy, and analytical capability
• Strong organizational and workflow management skills
• Ability to work independently and collaboratively in a fast-paced environment
• Clear communication skills with both technical and non-technical team members

Working at McLean

At McLean, we put clients first, and we look for team members who bring independence, integrity, and professionalism to everything they do. We encourage intellectual curiosity and continuous learning, and we take pride in being a family-oriented firm with a warm, collaborative culture. You’ll work in an environment built on trust, accountability, and a shared commitment to delivering exceptional service.

McLean was recognized by its employees as one of the “Best Places to Work in Virginia” in the small employer category every year from 2021-2025. In 2022, 2023, and 2024, we were also recognized by our employees as one of the top 5 “Best Places to Work for Financial Advisors” in the small employer category. In 2024 and 2025, McLean was ranked in the top 10 "Best RIAs to Work For" by Financial Planning Magazine. We are extremely proud of these awards as they reflect the culture we have worked hard to cultivate.

McLean Asset Management Corporation is an Equal Opportunity Employer. A comprehensive background check will be conducted on applicants for this position.

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