State Licensed VP of Operations

Job Summary

Leading broker-dealer and RIA back-office operations, the full-time remote State Licensed VP of Operations will manage account onboarding, compliance oversight, and operational transformations while developing a high-performing team and ensuring regulatory adherence.

Key responsibilities

• Oversee all aspects of broker-dealer operations, including account maintenance, trading support, and compliance with regulatory standards
• Conduct talent assessments and develop a team of approximately 40 FTEs, fostering a culture of accountability and continuous improvement
• Lead the implementation of new technologies and processes to enhance operational efficiency and reduce risk in a regulated environment

Required qualifications

• 12-15+ years of experience in financial services with a focus on broker-dealer operations leadership
• Deep expertise in regulatory frameworks including FINRA, SEC, and MSRB
• Proven success in leading operational transformation and technology modernization initiatives
• Strong executive presence with the ability to influence senior stakeholders
• Bachelor's degree required; MBA highly desirable; Series 65 and 24 registrations required, Series 27 preferred