Director of Brokerage and RIA Operations

Director of Brokerage and RIA Operations

If you know that operational excellence and regulatory compliance aren't mutually exclusive, and believe that "we'll clean it up later" is not an acceptable control environment, we should talk. Our client is seeking a Director of Brokerage, RIA Operations & Controls to lead the operational strategy, technology enablement, and control framework for its broker-dealer and RIA platform.

This highly visible leadership role oversees account opening, trade support, product governance, clearing firm relationships, commission processing, reconciliation, reporting, and operational integrity while partnering closely with Finance, Risk, Compliance, and Private Wealth. You'll serve as the Operations Principal and FINOP specialist, helping shape a scalable, best-in-class operating model designed for growth.

Qualified candidates will bring 10+ years of broker-dealer or RIA operations experience, including 7+ years of leadership experience, along with a strong understanding of controls, regulatory requirements, and technology-driven efficiency. Series 7, 24, and 27 licenses are required, though candidates possessing two of the three will be considered;
Series 4 and 66 (or 63/65) are a plus. Available in Green Bay and Milwaukee only! If you appreciate strong controls, clean reconciliations, and the satisfaction that comes from making complex operations look effortless, you may have just found your people.

To learn more about our organization please visit us at

To apply for this position, submit your resume by choosing one of the following:

• CLICKING "APPLY NOW" ON THIS PAGE (PREFERRED)
• Email your resume in WORD format to  Please refer to job reference code NB/DBRIAWI in the subject line.
• NO CALLS PLEASE