VP, Brokerage & Advisory Operations
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Job Description
VP of Operations overseeing broker-dealer and RIA back-office functions in a financial services company. Leading operational transformation and team development for optimal performance.
Responsibilities:
- 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
- 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
- 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
- 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
- Establish a quality framework and drive consistency across all operational functions
- Lead regulatory exam readiness and remediation in coordination with Compliance and Risk
- Lead the implementation of Docupace as the new account workflow, records (books and records), and straight-through processing tool
- 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
- 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
Requirements:
- 12–15+ years of experience in financial services
- 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
- A bachelor’s degree is required. An MBA is highly desirable but not required. FINA registrations: Series 65 and 24 required; Series 27 preferred.
Benefits:
- Health insurance
- 401(k) matching
- Flexible work hours
- Paid time off
- Professional development opportunities
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