Account Operations Specialist, Assistant Vice President; Wealth Custody & Clearing

Who We Are Looking For

Wealth Custody and Clearing is seeking an experienced Assistant Vice President, Account Operations Specialist to support core account lifecycle operations across our introducing broker‑dealer platform. The role operates within the Account Operations team and is responsible for review, approval, and ongoing maintenance of client accounts, ensuring all activities are performed accurately, compliantly, and in alignment with firm standards. The ideal candidate is a hands‑on operator with deep expertise in account onboarding, documentation requirements, and lifecycle servicing workflows.

They thrive in a dynamic, growth‑oriented environment, can operate across multiple functions as the platform scales, and will evolve into a leadership role. They also support a high‑touch, advisor‑facing service model while contributing to automation, AI‑enabled workflows, and digital‑first servicing capabilities.

As Wealth Custody and Clearing scales, the accuracy and integrity of account onboarding and maintenance activities are foundational to client trust, regulatory compliance, and operational efficiency. This role ensures that accounts are reviewed and maintained correctly at each stage of the lifecycle, directly supporting downstream servicing, trading, and cash movement activities.

• New accounts are reviewed and approved with a high degree of accuracy and completeness
• Ongoing account changes are handled with precision, control, and appropriate supervisory oversight
• Complex or sensitive lifecycle events are executed in a compliant, timely, and well‑controlled manner

• Review and approve new accounts, ensuring all documentation, regulatory, and internal control requirements are satisfied prior to account establishment
• Perform supervisory review as a Series 24 principal, including exception approvals and escalation support
• Execute and oversee account maintenance activities, including ownership changes, beneficiary updates, registrations, and account attribute modifications
• Support and manage complex account structures, including trusts, estates, corporate entities, partnerships, and multi‑party accounts
• Assist with lifecycle events, including death processing, estate distributions, and ownership transitions
• Ensure accurate capture and maintenance of beneficial ownership, control persons, authorized parties, and tax documentation (W‑9/W‑8)
• Partner closely with Client Service and advisors to address inquiries, resolve issues, and clarify documentation requirements
• Support inbound advisor requests, delivering timely, accurate, and high‑quality servicing for both standard and non‑standard scenarios
• Identify, assess, and escalate risk, documentation gaps, or inconsistencies in accordance with supervisory expectations
• Assist in processing and supporting ACATS and non‑ACATS transfers, ensuring proper documentation and control
• Coordinate with and initially perform across Cashiering, Transfers, and account operations; as the platform scales, help stand up domain‑specific functions with the opportunity to evolve into a dedicated leader within those areas
• Contribute to the development and refinement of workflows, procedures, and controls across onboarding and maintenance processes
• Leverage Salesforce and AI‑enabled workflows to improve efficiency, reduce manual effort, and enhance turnaround times
• Maintain strong documentation and audit readiness across all activities

• Strong experience in broker‑dealer or custody operations, with a focus on account onboarding, review, and lifecycle management
• Expertise in complex account structures (trusts, estates, entities) and associated documentation and regulatory requirements
• Solid understanding of account approval and maintenance workflows, beneficial ownership and control of person requirements, AML/KYC and CIP frameworks, tax documentation and withholding considerations
• Experience supporting advisor‑facing servicing models, with effective communication and problem‑solving skills
• Ability to manage exceptions, non‑standard scenarios, and time‑sensitive requests with sound…