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

Position: Wealth Operations & Supervision, Vice President (Wealth Custody & Clearing)
Who we are looking for Wealth Custody & Clearing is seeking an experienced Vice President, Wealth Operations & Supervision to serve as the senior tactical and functional leader across our introducing broker-dealer operating environment. This role will translate business strategy into disciplined day-to-day execution, provide experienced supervisory leadership, and connect work across Operations, Client Service & Advisor Experience, Trading, Asset Servicing, Client Onboarding, Cashiering, Risk, Compliance, Product, and Technology.

This role is designed for a broad operating leader rather than a specialist in a single operational domain. The successful candidate will bring meaningful experience in the wealth and advisory ecosystem, a proven record of supervision in a regulated broker-dealer environment, experience overseeing fraud controls, and the judgment to lead across complex workflows, client needs, regulatory obligations, and competing priorities.

Reporting to the Head of Operations, the Vice President will act as a senior point of leverage for the operating organization. The individual will drive the tactical operating agenda, coordinate functional leaders, resolve cross-functional issues, and maintain clear accountability for execution, controls, and escalation. Existing functional leaders will retain ownership of their respective domains; this role will ensure those domains operate as a connected, controlled, and scalable end-to-end model.

The ideal candidate is hands-on, pragmatic, and comfortable operating in a growth environment. They can move fluidly between daily execution, supervisory judgment, client-impacting escalations, operating-model design, and senior leadership communication without becoming the bottleneck or displacing subject-matter ownership. Why this role is important to us As Wealth Custody & Clearing expands its client base, product capabilities, and geographic reach, strong functional leaders must be supported by an experienced operator who can coordinate the broader operating agenda.

The complexity of the business increasingly spans multiple teams and control functions, and many of the most important issues cannot be solved within a single operational silo. This role provides the leadership capacity and supervisory depth needed to keep execution moving while senior management focuses on clients, strategic initiatives, growth, and international expansion. It strengthens the first line of defense by establishing consistent management routines, advancing fraud and operational risk controls, ensuring issues move to resolution, and maintaining transparency around performance, risk, capacity, and readiness.

The Vice President will help the organization scale without creating unnecessary management layers. Success will be measured by better coordination across functional teams, faster and clearer decision-making, stronger supervisory discipline, effective risk oversight, and dependable execution across the end-to-end operating model. What you will be responsible for Tactical operating leadership:
Lead the day-to-day operating agenda across Wealth Custody & Clearing, converting strategic priorities into coordinated workplans, decisions, owners, milestones, and measurable outcomes. Cross-functional execution:
Coordinate across Client Service, Trading, Asset Servicing, Client Onboarding, Account Maintenance, Cashiering, Risk, Compliance, Product, and Technology to ensure issues and initiatives are managed end-to-end rather than within functional silos. Supervision and regulatory oversight:
Provide experienced supervisory leadership across applicable broker-dealer activities, ensuring clear supervisory ownership, timely review, appropriate escalation, and evidence that supervisory obligations are being performed. Fraud oversight and implementation:
Partner with Risk, Compliance, Technology, functional leaders, and external providers to implement and oversee scalable fraud prevention, detection, escalation, investigation, and reporting capabilities across Wealth Custody & Clearing. Operating governance:
Establish and lead management routines covering operational performance, risk and controls, incidents, client-impacting issues, capacity, change readiness, and delivery commitments. First-line risk leadership:
Partner with functional leaders to identify operational, fraud, and regulatory risks, assess control design and effectiveness, address gaps, and maintain clear accountability for remediation.…