VP, Brokerage & Advisory Operations

Job Description:

Operational Leadership & Execution

• Own and accountable for all broker-dealer and RIA back-office operations: account onboarding, maintenance, new account review, trading support, cashiering, disbursements, ACATs/transfers, suitability, and field advisor support
• Establish and enforce operational standards, SLAs, KPIs, and an operating cadence including capacity planning, escalation paths, and issue management
• Build a professional, metrics-driven environment where performance expectations are clear and consistently managed — filling a gap that currently exists
• Oversee supervisory functions for new account review in partnership with the Compliance team, ensuring FINRA, SEC, and MSRB obligations are met
• Provide regulatory and control oversight, ensuring compliance with FINRA, SEC, and MSRB; maintain strong procedures and readiness; lead exams and remediation efforts.
• Collaborate with vendors (e.g., Pershing, DTCC, etc.) to improve platforms, integrations, data quality, and operational resiliency.

People & Talent

• Conduct a rapid, comprehensive talent assessment of the inherited organization — evaluate who is in the right role and identify gaps
• Develop, coach, and hold accountable a team of approximately 40 FTE and multiple direct-report people leaders
• Build succession depth; foster a culture of accountability, continuous improvement, and client-first execution
• Partner with HR to address performance issues and build for the future

Process & Controls

• Identify and close significant procedural and control gaps that currently exist in the organization
• Design and implement scalable, repeatable processes appropriate for a regulated broker-dealer environment — not just an RIA or mutual company back office
• Establish a quality framework and drive consistency across all operational functions
• Lead regulatory exam readiness and remediation in coordination with Compliance and Risk

Technology & Transformation

• Lead the implementation of Docupace as the new account workflow, records (books and records), and straight-through processing tool — this is a committed, in-flight initiative
• Own a multi-year transformation roadmap focused on automation, workflow digitization, and operational risk reduction
• Collaborate with Technology and vendor partners (e.g., Pershing, DTCC, investment platforms) to improve integrations, data quality, and system performance
• Leverage data and analytics to drive decision-making and surface operational risk proactively

Executive Partnership

• Serve as a key member of the Operations Leadership Team; engage directly with the Head of Operations, CHRO, Compliance, Risk, and Technology
• Translate complex operational issues into clear executive-level insights and recommendations
• Build effective partnerships with advisors and field leadership to improve the advisor and client experience
• Partner with shared service functions (training, quality, metrics, fraud prevention) to drive continuous improvement across the candle

Candidate Profile

IDEAL EXPERIENCE

The ideal candidate brings 12–15+ years of experience in financial services, with a strong foundation in broker-dealer operations leadership and a demonstrated ability to drive impact at the enterprise level. Building on that foundation, they will have operated at a senior leadership capacity where strategic decisions shaped organizational outcomes across business lines. A proven track record managing regulatory exams and reporting with bodies such as FINRA and SEC is essential, reflecting both a command of compliance obligations and the credibility to navigate complex regulatory relationships. Complementing this regulatory fluency, the candidate will possess deep expertise in clearing house integrations and broker-dealer software solutions, enabling seamless operational execution. Ultimately, they will have a demonstrated history of scaling operations, elevating service quality, improving risk outcomes, and steering cross-functional change initiatives within a regulated wealth management environment.

Key requirements include:

• Deep expertise in broker-dealer operations and regulatory frameworks (FINRA, SEC, MSRB).
• Proven success leading operational transformation and technology modernization.
• Strong executive presence with ability to influence senior stakeholders.
• Strategic, data-driven decision maker with strong risk awareness.
• Excellent communication skills with ability to translate complex issues into clear insights.
• Demonstrated ability to build and lead high-performing teams.

EDUCATION

Degree: A bachelor’s