Wealth Operations & Supervision, Vice President (Wealth Custody and Clearing)
Core
Senior tactical and functional leader for Wealth Custody & Clearing operations, translating strategy into execution across a regulated broker-dealer environment.
Role type
Senior IC Vice President (Wealth Operations & Supervision)
Builds
End-to-end operating model for Wealth Custody & Clearing
Domain
Financial Services / Wealth Management / Broker-Dealer
Required skills
Supervisory leadership, fraud controls oversight, cross-functional coordination, regulatory compliance, operational risk management, operating model design, stakeholder influence, strategic execution, third-party oversight, automation/AI integration
Preferred skills
Experience in introducing broker-dealer and RIA models, managing complex client-impacting escalations, leading in growth environments
Technologies
AI-enabled workflows, fraud detection systems, supervisory systems, automation tools
Responsibilities
Lead day-to-day operating agenda and convert strategic priorities into workplans; Coordinate across Client Service, Trading, Asset Servicing, Risk, Compliance, and Technology; Provide supervisory leadership and ensure regulatory obligations are met; Oversee fraud prevention, detection, and investigation frameworks; Establish management routines for performance, risk, and incidents; Partner with functional leaders to identify and remediate operational risks; Serve as senior escalation point for high-risk matters; Drive operational KPIs and executive reporting; Lead operational coordination for client implementations and new capabilities; Support regulatory examinations and audits; Maintain and improve operating procedures and governance artifacts; Partner with Technology to embed automation and AI; Oversee third-party providers (custodians, clearing firms); Represent Head of Operations in delegated forums.
Seniority
Senior, hands-on IC