Vice President, Wealth Operations & Supervision, Wealth Custody & Clearing

The Company is in search of a Vice President for Wealth Operations and Supervision. This senior leadership role is pivotal in translating business strategy into daily execution, providing supervisory leadership, and ensuring the seamless connection of work across various operational domains. The successful candidate will be a broad operating leader with a strong background in the wealth and advisory ecosystem, particularly within a regulated broker-dealer environment. Responsibilities include tactical operating leadership, cross-functional execution, supervision, and regulatory oversight, as well as the implementation of fraud controls and operating governance. The role demands a hands-on, pragmatic individual who can balance the demands of daily operations with the need for strategic, client-focused, and growth-oriented decision-making. Candidates for this role at the company should have a proven track record in supervision and regulatory oversight, experience in fraud prevention and detection, and a strong understanding of operational controls and risk management. The ideal candidate will be adept at leading through influence, managing complex operational and regulatory matters, and driving continuous improvement in the operating model. A practical, technology-forward mindset is essential, with experience in using automation and AI to enhance operational efficiency. The role requires a leader with a strong sense of accountability, transparency, and collaboration, who can effectively communicate and make timely decisions. A background in broker-dealer, custody, wealth management, or advisory operations, along with relevant securities registrations, is necessary, with a preference for those with experience in RIA and international operating considerations.