Wealth Operations & Supervision, Vice President (Wealth Custody & Clearing)
Who we are looking for
Wealth Custody & Clearing is seeking an experienced Vice President, Wealth Operations & Supervision to serve as the senior tactical and functional leader across our introducing broker-dealer operating environment. This role will translate business strategy into disciplined day-to-day execution, provide experienced supervisory leadership, and connect work across Operations, Client Service & Advisor Experience, Trading, Asset Servicing, Client Onboarding, Cashiering, Risk, Compliance, Product, and Technology.
This role is designed for a broad operating leader rather than a specialist in a single operational domain. The successful candidate will bring meaningful experience in the wealth and advisory ecosystem, a proven record of supervision in a regulated broker-dealer environment, experience overseeing fraud controls, and the judgment to lead across complex workflows, client needs, regulatory obligations, and competing priorities.
Reporting to the Head of Operations, the Vice President will act as a senior point of leverage for the operating organization. The individual will drive the tactical operating agenda, coordinate functional leaders, resolve cross-functional issues, and maintain clear accountability for execution, controls, and escalation. Existing functional leaders will retain ownership of their respective domains; this role will ensure those domains operate as a connected, controlled, and scalable end-to-end model.
The ideal candidate is hands-on, pragmatic, and comfortable operating in a growth environment. They can move fluidly between daily execution, supervisory judgment, client-impacting escalations, operating-model design, and senior leadership communication without becoming the bottleneck or displacing subject-matter ownership.
Why this role is important to us
As Wealth Custody & Clearing expands its client base, product capabilities, and geographic reach, strong functional leaders must be supported by an experienced operator who can coordinate the broader operating agenda. The complexity of the business increasingly spans multiple teams and control functions, and many of the most important issues cannot be solved within a single operational silo.
This role provides the leadership capacity and supervisory depth needed to keep execution moving while senior management focuses on clients, strategic initiatives, growth, and international expansion. It strengthens the first line of defense by establishing consistent management routines, advancing fraud and operational risk controls, ensuring issues move to resolution, and maintaining transparency around performance, risk, capacity, and readiness.
The Vice President will help the organization scale without creating unnecessary management layers. Success will be measured by better coordination across functional teams, faster and clearer decision-making, stronger supervisory discipline, effective risk oversight, and dependable execution across the end-to-end operating model.
What you will be responsible for
- Tactical operating leadership: Lead the day-to-day operating agenda across Wealth Custody & Clearing, converting strategic priorities into coordinated workplans, decisions, owners, milestones, and measurable outcomes.
- Cross-functional execution: Coordinate across Client Service, Trading, Asset Servicing, Client Onboarding, Account Maintenance, Cashiering, Risk, Compliance, Product, and Technology to ensure issues and initiatives are managed end-to-end rather than within functional silos.
- Supervision and regulatory oversight: Provide experienced supervisory leadership across applicable broker-dealer activities, ensuring clear supervisory ownership, timely review, appropriate escalation, and evidence that supervisory obligations are being performed.
- Fraud oversight and implementation: Partner with Risk, Compliance, Technology, functional leaders, and external providers to implement and oversee scalable fraud prevention, detection, escalation, investigation, and reporting capabilities across Wealth Custody & Clearing.
- Operating governance: Establish and lead management routines covering operational performance, risk and controls, incidents, client-impacting issues, capacity, change readiness, and delivery commitments.
- First-line risk leadership: Partner with functional leaders to identify operational, fraud, and regulatory risks, assess control design and effectiveness, address gaps, and maintain clear accountability for remediation.
- Senior escalation management: Serve as a senior escalation point for high-risk, time-sensitive, or cross-functional operational matters, driving fact-based decisions, coordinated communication, and durable resolution.
- Functional leadership enablement: Support and challenge functional leaders while preserving their ownership of subject-matter decisions, team performance, procedures, and daily production within their respective domains.
- Client and launch readiness: Lead operational coordination for client implementations, new capabilities, market expansion, and production stabilization, ensuring dependencies, operational and fraud controls, staffing, procedures, and escalation paths are ready before launch.
- Regulatory and audit support: Partner with Compliance, Risk, Legal, and Internal Audit on regulatory examinations, audits, control reviews, and inquiries, ensuring accurate documentation, timely responses, and sustainable corrective action.
- Policies and procedures: Drive disciplined ownership, maintenance, approval, and implementation of operating procedures, supervisory procedures, control documentation, and related governance artifacts.
- Management information: Establish clear operational KPIs, KRIs, service measures, and executive reporting that provide decision-useful insight into performance, trends, risks, capacity, and readiness.
- Operating-model improvement: Identify friction, duplication, unclear handoffs, and control gaps across the operating model and lead practical improvements that strengthen scalability, resilience, and the advisor experience.
- Technology and automation: Partner with Product and Technology to embed automation, AI-enabled workflows, fraud detection capabilities, and data-driven decision-making into operations while maintaining appropriate controls and human oversight.
- Third-party oversight: Support effective oversight of clearing firms, custodians, technology providers, fraud solution providers, and other operational partners, including performance monitoring, issue management, accountability, and escalation.
- Leadership continuity: Represent the Head of Operations in delegated operating forums and decisions, keep the broader operating agenda moving, and elevate matters requiring executive attention with a clear recommendation.
What we value
- Broad experience across broker-dealer, custody, wealth, or advisory operations, with the ability to lead across multiple functional domains rather than a single specialty.
- A proven track record of supervision and regulatory oversight in a regulated financial-services environment.
- Experience implementing or overseeing fraud prevention, detection, investigation, escalation, and control frameworks within financial services.
- Ability to translate emerging fraud risks into practical controls, technology requirements, governance routines, and operating procedures.
- Strong understanding of introducing broker-dealer and RIA operating models, including the relationship among the advisor, introducing broker-dealer, clearing firm, custodian, and third-party technology ecosystem.
- Sound working knowledge of operational controls, supervisory systems, escalation standards, governance, and first-line risk ownership.
- Demonstrated ability to lead through influence, align peers and functional leaders, and drive decisions across organizational boundaries.
- Experience managing complex client-impacting events, operational incidents, regulatory matters, and high-priority escalations with urgency and control.
- Ability to distinguish between matters that should remain with the functional SME and matters requiring broader operating or supervisory leadership.
- Strong executive judgment, presence, and communication skills, including the ability to simplify complex issues and recommend a clear course of action.
- Experience building or scaling an operating model, new business, platform, or significant operational capability.
- A practical, technology-forward mindset and experience using automation, workflow tools, data, and AI to improve execution and management visibility.
- Comfort operating in a dynamic environment where client needs, regulatory obligations, strategic priorities, and daily execution must be balanced.
- A leadership style grounded in accountability, transparency, collaboration, and timely decision-making.
Education & Preferred Qualifications
- Undergraduate degree or equivalent relevant experience.
- 10+ years of relevant experience across broker-dealer, custody, wealth management, or advisory operations.
- 5+ years of leadership and supervisory experience in a regulated financial-services environment.
- Active and appropriate securities registrations for the assigned supervisory responsibilities. Series 7 and Series 24 are strongly preferred; additional registrations such as Series 4, Series 55/57, or Series 63/66 are advantageous based on final scope.
- Demonstrated experience working with Compliance, Risk, Legal, Technology, Product, fraud-risk partners, and client-facing teams.
- Experience supporting RIA, enterprise RIA, introducing broker-dealer, clearing, or custody operating models strongly preferred.
- Experience with fraud-risk programs, control implementation, case management, or fraud technology solutions preferred.
- Experience supporting regulatory examinations, internal audits, risk assessments, and remediation programs preferred.
- Experience with international...