Wealth Operations & Supervision, Vice President (Wealth Custody and Clearing)
Core
Senior tactical and functional leader for Wealth Custody & Clearing, translating strategy into disciplined execution across Operations, Client Service, Trading, Asset Servicing, Risk, Compliance, and Technology.
Role type
Senior IC Vice President (Wealth Operations & Supervision)
Builds
End-to-end operating model for an introducing broker-dealer, ensuring scalable, controlled, and connected workflows.
Domain
Financial Services / Wealth Management / Broker-Dealer Operations
Required skills
Supervisory leadership in regulated environments, fraud control implementation, cross-functional coordination, operating governance, risk oversight, regulatory compliance, operational KPI/KRI management, third-party oversight, operating-model design, technology partnership for automation.
Preferred skills
Experience in introducing broker-dealer and RIA models, ability to lead through influence without displacing subject-matter ownership, managing complex client-impacting escalations.
Technologies
AI-enabled workflows, fraud detection capabilities, supervisory systems, data-driven decision-making tools.
Responsibilities
Lead day-to-day operating agenda and convert strategic priorities into workplans; Coordinate across multiple functional domains to manage issues end-to-end; Provide supervisory leadership and ensure timely review and escalation; Oversee fraud prevention, detection, investigation, and reporting capabilities; Establish management routines for performance, risk, and incidents; Identify and remediate operational and regulatory risks; Serve as senior escalation point for high-risk matters; Support regulatory examinations and audits; Drive ownership of operating procedures and governance artifacts; Establish operational KPIs and executive reporting; Lead operational coordination for client implementations and market expansion; Partner with Technology to embed automation and AI workflows; Oversee performance of clearing firms, custodians, and technology providers.
Seniority
Vice President, Senior Leadership