VP, Wealth Risk & Operations

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Summary Of The Job

We are seeking an experienced Vice President, Wealth Risk and Operations to lead first‑line risk management, compliance oversight, and operational excellence for our Wealth Division. The ideal candidate will bring proven experience in wealth risk and compliance, deep knowledge of the regulatory landscape, operational best practices and a transformative leadership style.

This Role Encompasses Three Integrated Oversight Responsibilities

• First‑Line Risk Management – Independent risk oversight, assessment, and monitoring across all wealth activities.
• Compliance Leadership – Comprehensive regulatory program management, policy implementation and examination collaboration.
• Operations Leadership – Direct management of operational teams delivering client support and transaction processing.

About This Role

You will balance robust first‑line risk management and compliance oversight with operational leadership in a highly regulated environment. This position requires a risk‑focused leader with deep wealth management regulatory expertise who can simultaneously drive operational excellence through director‑level teams while ensuring adherence to SEC, FINRA, OCC, and state trust regulations. The successful candidate will integrate risk management, compliance oversight, and operational execution by designing frameworks that enhance both regulatory adherence and operational efficiency.

With decision‑making authority, you will have accountability for risk acceptance, compliance matters, operational transformation, and resource allocation with financial implications for the division. This role maintains a unique enterprise perspective, regularly representing Wealth in bank‑level governance forums while also being embedded in day‑to‑day divisional operations. Through daily collaboration with Wealth leadership and cross‑functional partners, you’ll develop the insights needed to anticipate emerging risks, identify process improvement opportunities, and drive strategic change initiatives.

Beyond technical expertise, this role requires exceptional leadership capabilities to build and develop high‑performing teams during a period of significant transformation. You will foster a culture that balances operational discipline with innovation, ensuring we meet our fiduciary obligations while delivering exceptional client experiences. For a strategic leader with wealth management risk expertise and operational transformation experience, this role offers the rare opportunity to shape the future of our Wealth division while gaining significant executive visibility across the enterprise.

The position reports directly to the SVP of Banking Risk, Operations and Data and has exposure to Banking leadership.

Key Responsibilities First‑Line Risk Management and Oversight

• Conduct comprehensive risk assessments across wealth management activities (trust, investment advisory, brokerage).
• Provide independent first‑line oversight of operational, fiduciary, reputational, and strategic risks.
• Develop, implement, and monitor Key Risk Indicators (KRIs) and risk metrics.
• Oversee testing, monitoring, risk assessments, and mitigation plans for the division.
• Make independent decisions regarding risk acceptance within established governance frameworks.

Risk Governance & Control Framework

• 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.

Compliance Leadership and Regulatory Management

• 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.

Compliance Program Management

• Develop and maintain division‑wide compliance…