VP, Wealth Risk & Operations

* Evaluate existing processes and direct activities to address control gaps using deep knowledge of common risks.
* Anticipate, assess, monitor and report on risks to division leadership and enterprise risk management.
* Design and implement risk management frameworks that support business growth while maintaining control standards.
* Serve as compliance leader for the Wealth division ensuring adherence to SEC RIA regulations, FINRA rules, OCC trust requirements, and state fiduciary regulations.
* Implement and maintain comprehensive compliance programs across wealth business lines.
* Serve as liaison with second line during examinations, inquiries, and ongoing regulatory relationships.
* Create and update compliance policies covering fiduciary duties, conflicts of interest, advertising, and privacy requirements.
* Oversee preparation of regulatory documents including Form ADV, RC-T, 13F, and other required filings as well as books and records
* Ensure proper licensing and registration maintenance across all division personnel
* Coordinate with Legal and Enterprise Compliance on regulatory matters and policy updates
* Drive operational transformation through process redesign, automation, role clarification, technology enhancement and clear accountabilities.
* Lead efforts to modernize operations using digital tools, best-in-class platforms, and workflow optimization.
* Manage operational metrics including billing accuracy, trade processing timelines, client service delivery, and vendor performance.
* Ensure operational processes appropriately support regulatory requirements and business objectives.
* Build and develop a high-performing team through effective hiring, coaching and performance management.
* Foster a culture of collaboration, accountability, and continuous improvement.
* Leads transformational change initiatives that impact the entire Wealth division.
* Lead, align, and enable teams to deliver a continuous improvement mindset within a complex and dynamic risk environment.
* Facilitate cross-functional collaboration and knowledge sharing to break down silos.
* Bachelor’s degree required; advanced degree (MBA/JD) or industry certifications (e.g., CFA, CCO, CAMS, CFIRS, CRCP, CTFA, IAACP) strongly preferred. Series 7, 24 strongly preferred (or an ability to obtain).
* 10+ years of experience in financial services with progressive leadership in risk, compliance and operations roles across wealth management (prefer experience with OCC, SEC, FINRA, trust, RIA, broker-dealer, capital markets).
* Proven experience leading transformations and integrating siloed operations
* Proven track record of developing and implementing successful operational strategies that drive efficiency and enhance client service.
* Deep knowledge of SEC Investment Advisers Act, FINRA conduct rules, OCC trust regulations, and state fiduciary requirements.
* Track record of designing and executing successful operational strategies in complex or underperforming environments.
* Exceptional analytical, communication, and leadership skills; ability to influence across all levels of the organization.
* Skilled in operational risk identification, internal controls, scenario analysis, and root cause remediation.
* Excellent and demonstrable communication, written, and presentation skills are required.
* Excellent analytical and problem-solving abilities, with a focus on data-driven decision-making.
* Understand and comply with bank policy, laws, and FINRA / SEC regulations, and the bank's BSA/AML Program, as applicable to your job duties.
* Medical, Dental, Vision Insurance
* 401k, With Matching Contributions
* Time Off Programs
* Health Savings Account (HSA)/Dependent Care
* Employee Banking
* Growth Opportunities
* Tuition Assistance
* Short-Term/Long-Term Disability Insurance

FNBO believes that the quality of our employee experience is at the heart of our customer experience. One key pillar of our intended employee experience is Belonging. Belonging means we are committed to fostering a workplace culture where employees of all backgrounds feel valued, recognized, and empowered to be their authentic selves—no matter their role or where they are in their journey.

FNBO is an equal opportunity employer for all employees and applicants and makes employment decisions without regard to status or identity. We strive to represent the communities in which we serve.
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