Vice President of Managed Accounts & Securities Compliance

The Company is seeking a VP of Managed Accounts and Securities Compliance with a strong background in the financial services industry, particularly within Broker-Dealer roles. The successful candidate will be responsible for overseeing the operational and compliance aspects of managed accounts, ensuring adherence to regulatory standards, and leading a team with formal supervisory responsibilities. Key requirements include a Bachelor’s degree or equivalent experience, 10+ years in the financial services industry, proficiency with specific systems, and Securities Series 7 & 24 (or equivalent) licensing. The role demands a leader with excellent communication, problem-solving, and analytical skills, who can thrive in a fast-paced, ambiguous environment. In addition to the essential skills, the ideal candidate for the VP position at the company will have a proven track record in leadership, particularly within an introducing broker-dealer setting. Nice-to-have skills include experience in regulatory compliance, internal audit procedures, and a background in building or scaling a financial services division. The role requires a professional with a strong operational expertise, a keen attention to detail, and the ability to manage complex functions in a growth environment. A Bachelor's degree or higher in a related field is preferred, along with a history of managing third-party operational relationships and vendor management. The VP will play a critical role in the company's operations, and as such, the ability to lead a team and ensure the smooth running of the business is paramount.