Vice President, Advisor Transitions | St. Petersburg, FL

Job Description

This position follows our hybrid-friendly schedule, so you get the best of both worlds – flexibility and collaboration. In office days will be 3 per week averaging 12 days per month in our St. Petersburg, FL Corporate Office.

The Vice President of Operations for the Transition Management team plays a critical leadership role in driving the strategic planning, execution, and continuous improvement of operational initiatives that support the seamless onboarding and integration of new financial advisors (and their teams). This role is responsible for overseeing end-to-end transition processes, aligning cross-functional teams, and ensuring a high-quality experience for both advisors and clients.

As a key contributor to the department’s overall strategy, the VP of Operations will lead efforts to optimize workflows, implement scalable solutions, and enhance service delivery. This position requires a forward-thinking leader with strong operational expertise, a deep understanding of the financial services landscape, and a passion for delivering excellence in advisor support.

Essential Duties and Responsibilities:

• Plans, assigns, monitors, reviews, evaluates, and leads the work of subordinate managers and supervisors.

• Performs human resource management activities, including coaching and mentoring subordinates within a performance management culture.

• Coaches and mentors subordinates, identifies training needs and creates development plans.

• Interprets, applies, and recommends changes to organizational policies and procedures.

• Collaborates with private client group management to identify and implement solutions.

• Monitors regulatory compliance with internal and external groups including auditors, FINRA, IRS, SEC, and others.

• Establishes objectives with a sense of urgency and develops processes and procedures to ensure efficient and timely workflow.

• Works with product managers and information technology groups to create system requirements that will facilitate processes; moves projects through to implementation.

• Performs periodic reporting on work progress, project completions, and additional ad-hoc reporting as required.

• Maintains regular contact with senior manager and other internal customers to identify, research, and resolve issues.

• Ensures effective coordination occurs between assigned functional area(s) and other areas.

• Identifies trends and implements corrective action as necessary.

• Uses financial data and performance indicators to establish control mechanisms and other improvement initiatives.

• Develop and administer policies, procedures, and budget for the department.  Ensure policies and procedures are interpreted and carried out properly.

• May manage multiple departmental budgets.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Knowledge of:

• Company’s working structure, policies, mission, and strategies.

• Project management methodology sufficient to act in a sponsorship role.

• Principles of finance and securities industry operations.

• Financial markets and products.

• Performance management.

Skill in:

• Preparing operational budgets. 

• Interpreting and applying policies and procedures.

• Establishing operational objectives.

• Implementing processes and procedures for efficient and timely workflow.

• Preparing management reports.

• Promoting effective coordination between work groups. 

Ability to:

• Plan, assign, monitor, review, evaluate, and supervise the work of others.

• Coach and mentor others.

• Identify training needs and develop subordinates.

• Balance conflicting resource and priority demands.

• Maintain currency in assigned area of responsibility.

• Partner with other functional areas to accomplish objectives.

• Facilitate meetings, ensuring all viewpoints, ideas, and problems are addressed.

• Incorporate needs, wants, and goals from different business unit perspectives into operational processes.

• Read, interpret, analyze, and apply information from job-related publications.

• Incite enthusiasm and influence, motivate and persuade others to achieve desired outcomes. 

• Interpret and apply policies. 

• Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.<