Vice President, Operations, Mutual Funds

** Key Responsibilities*
* + Own the end-to-end mutual fund operations function, including governance of securities master and trading restrictions; trade execution and settlement; corporate actions and fund event processing (mergers, liquidations, MF to ETF conversions); share class conversions; networking functions; cash, share, and dividend reconciliation; direct fund account management; vendor oversight; fund relationship management; and leadership of the project/change portfolio.

+ Product Setup & Platform Readiness:
Partner with internal stakeholders on open end mutual fund platform.  Oversee onboarding of new mutual funds and share classes, ensuring accurate configuration of eligibility rules, minimums, fees/load structures, and trading restrictions across all systems and channels.  Manage fund reference data integrity and enforce prospectus and regulatory compliance through robust operational processes and platform controls.

+ Fund Relationship & Industry Advocacy:
Serve as the executive liaison with fund families, transfer agents, vendors, and market utilities (NSCC/DTCC), ensuring operational readiness for new offerings, corporate actions, and regulatory changes. Advocate for the broker-dealer industry within the mutual fund ecosystem and through active participation in industry committees, influencing standards and regulatory developments to promote operational compatibility, efficiency, and client benefit.

+ Provide executive oversight and strategic direction for the project and change portfolio, setting priorities, aligning initiatives with business objectives, and ensuring optimal resource allocation for timely, high-quality delivery that drives operational efficiency and scalability.

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* Other Responsibilities:

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* + Take overall responsibility for designing, developing, and delivering the organization's operational strategy and outcomes.

+ Take overall responsibility for setting and approving area budgets that achieve organizational strategy.

+ Manage and report on business performance; hold direct reports accountable for achievement of business plans, and take corrective action where necessary to ensure the achievement of business objectives, balancing the need to deliver short-term business objectives with the longer-term delivery of stakeholder value.

+ Lead the development of annual and longer-term business plans for a significant function, ensuring alignment with strategy; quantify business outcomes, i.e., revenues or other key performance indicators (KPIs) and resource budgets (financial and headcount); and ensure integration of key activities or projects across the organization.

+ Set and communicate the strategy, along with the broad actions needed to implement it, for achieving the organization's mission, vision, and values within a function; inspire a large or diverse workforce to commit to these tenets and do extraordinary things to achieve the organization's business goals.

+ Identify and manage stakeholders up to and including top management level, finding out their needs, issues, and concerns and reacting to them by leading and coordinating the development of stakeholder engagement plans to support the communication of business information and decisions.

+ Develop the strategy for a significant area of responsibility, such as a function, anticipating complex issues, challenges, and opportunities. Ensure the strategy is successfully implemented and meets medium-term business needs.

+ Represent the organization or institution in a variety of industry, institutional, and/or professional forums, boards, and committees, in order to promote the company or institution brand or efforts. Represent the organization in external relations with investors, clients, industry, partners, the public, and others. Focus is on a specific area of the organization, such as a function or department. May involve preparation of presentations and materials for professional partnering meetings, seminars, and conferences.

+ Identify the capabilities needed to meet the current and emerging business needs of a significant business area. Evaluate current capabilities, identify gaps, and prioritize development activities. Motivate others to develop their capabilities and fulfill their personal potential. Build capabilities elsewhere in the organization through mentoring and other informal methods.

+ Define the detailed organization structure for a business area to align with corporate principles, define the relationship between elements of the organization, and define the responsibilities of senior managers, to enable the organization to achieve its business objectives.

+ Participate in the development of corporate strategy, applying functional expertise to test the viability of the strategy and contributing creative ideas and insights to support the strategy formation process.

+ Collaborates with private client group management to identify and implement solutions.

+ Monitors regulatory compliance with internal and external…