Trading & Asset Servicing Operations Specialist; Series Assistant Vice President

Who we are looking for Wealth Custody and Clearing is seeking an experienced Assistant Vice President, Trading & Asset Servicing Operations Specialist to support the execution of brokerage trade operations and asset servicing functions across our introducing broker‑dealer platform. This role operates within the Operations team and is responsible for ensuring trading, corporate actions, and related activities are executed accurately, efficiently, and in accordance with regulatory and internal control standards.

This role is ideal for a hands‑on operator with strong experience in trading operations and event‑driven processing, including corporate actions and trade lifecycle support. The Assistant Vice President serves as a key point of execution and control, ensuring time‑sensitive activities are handled with urgency, precision, and clear communication. We are seeking an individual who thrives in a dynamic, growth‑oriented environment, with the ability to operate across multiple operational domains.

This role offers broad exposure across trading, asset servicing, and operational support functions, with the opportunity to evolve into a leadership role aligned to those domains as the organization scales. This individual will also play a key role in supporting an advisor‑facing operating model, partnering closely with Client Service while contributing to the adoption of automation, AI‑enabled workflows, and integrated platform capabilities.

• Trades are supported and processed accurately across the full lifecycle, from order handling through settlement
• Corporate actions and asset servicing events are executed with precision, timeliness, and appropriate client support
• Time‑sensitive operational issues are identified, escalated, and resolved with urgency and clarity

In close partnership with Client Service and related operational teams, this role helps enable a model where high‑volume activity is streamlined through automation, while complex, time‑sensitive, or advisor‑facing scenarios are handled with expertise and control.

• Support end‑to‑end trade lifecycle execution, including trade support, allocations, booking, and exception management, ensuring accuracy and timeliness
• Provide advisor‑facing trading support, including handling inbound inquiries, trade issues, and time‑sensitive requests with clear communication and rapid resolution
• Execute and support asset servicing and corporate actions processing, including voluntary and mandatory events, elections, and entitlements
• Assist in managing event‑driven workflows, ensuring corporate actions, market events, and deadlines are tracked and executed accurately
• Support multi‑asset class operations, including equities, mutual funds, fixed income, alternatives, and derivatives (including listed options)
• Identify and elevate trade breaks, operational discrepancies, and servicing issues, ensuring timely resolution and control
• Partner closely with Client Service and advisors to resolve inquiries and provide updates on trading activity and servicing events
• Coordinate with cross‑functional teams (Cashiering, Account Operations, and Transfers) support reconciliation, breaks resolution, and exception management across trading and asset servicing activities
• Assist in managing vendor and clearing firm interactions, ensuring alignment on trade processing, servicing, and issue resolution
• Support regulatory and reporting activities, including daily execution and monitoring of CAT reporting and exception management/reconciliation, Rule
  606 reporting requirements, and operational data integrity
• Contribute to the development and refinement of operational workflows, controls, and procedures
• Leverage Salesforce,…