Vice President of Broker Dealer Operations

Vice President, Trade Operations

Wealth Custody and Clearing is seeking an experienced Vice President, Trade Operations to lead the execution and scaling of brokerage trade operations for our introducing broker dealer platform. This role is responsible for overseeing core trading functions—including Trade Support, Asset Servicing (Corporate Actions), Corrections, Vendor Relations, and Reconciliation—ensuring activities are executed accurately, efficiently, and in accordance with regulatory and internal control standards.

This role is ideal for a hands-on leader who thrives in building, stabilizing, and scaling trading organizations, not just maintaining them. The Vice President serves as the central operator across the platform, with particular emphasis on trading execution and asset servicing delivery, ensuring time sensitive and event driven processes are handled with precision, urgency, and control.

We are seeking a leader who combines deep trading expertise with strong judgment, people leadership, and a modern, technology forward mindset. This role requires fluency across the full lifecycle of introducing broker dealer operations—including trading, corporate actions, cash movement, onboarding, and account management—while ensuring operations enable, rather than constrain, the advisor experience.

The ideal candidate will also bring experience supporting RIA and enterprise RIA operating models, including centralized investment and servicing structures. Strong familiarity with third party platforms and ecosystem partners is critical to ensuring operational alignment and scalability.

The Vice President plays a key role in embedding automation, AI enabled workflows, and data driven decision making into core operations, ensuring the platform evolves toward a more efficient, scalable, and resilient model. Reporting to the Managing Director of Operations, this role is accountable for building high performing teams and delivering consistent, high quality execution as the business grows.

As Wealth Custody and Clearing scales, operational excellence is foundational to client trust, regulatory integrity, and platform performance. Every advisor interaction, whether executing trades, servicing assets, moving cash, or onboarding a client, depends on operations functioning accurately and predictably behind the scenes.

This role is critical to ensuring the platform operates with both precision and scale, with particular focus on trade lifecycle integrity and asset servicing accuracy in time sensitive and event driven environments. The Vice President ensures operational workflows are not only compliant, but also streamlined, automated, and aligned to a service model that minimizes friction for advisors.

In close partnership with Client Service & Advisor Experience, this role enables a model where routine operational activity is handled efficiently through automation, while complex events, particularly in trading and corporate actions, are managed with expertise, control, and urgency.

Responsibilities include:

• Lead and oversee day-to-day brokerage operations, with direct accountability for Trading Support and Asset Servicing (Corporate Actions), including leading advisor-facing trading support for inbound requests, trade inquiries, and time-sensitive issues, ensuring rapid triage, clear communication, and consistent resolution.
• Collaborate with peers and cross functional leaders to support Cashiering, Account Operations, and Client Onboarding.
• Ensure end-to-end trade lifecycle execution (order support, allocations, booking, settlement) is accurate, timely, and aligned with market structure, regulatory requirements, and client expectations, while supporting advisor-facing trading needs, including inbound inquiries, issue resolution, and time-sensitive trade support.
• Ensure operational readiness and support across a broad range of asset classes, including equities, mutual funds, fixed income, alternatives, and derivatives (including listed options), maintaining accuracy, control, and consistent advisor experience across product types.
• Oversee asset servicing and corporate actions processing, including voluntary and mandatory events, ensuring accurate entitlements, timely elections, proxy support, and advisor facing issue resolution.
• Build, lead, and develop high performing teams, reinforcing a culture of accountability, precision, ownership, and continuous improvement.
• Design and continuously refine operational workflows, controls, and procedures to ensure scalability, efficiency, and alignment with regulatory expectations.
• Partner closely with Client Service & Advisor Experience to ensure seamless coordination between advisor facing service and operational execution, particularly for trading issues, servicing events, and time-sensitive requests.
• Drive the adoption of automation, AI enabled workflows, and system driven processing, particularly within high volume trading and asset servicing activities.
• Establish and monitor operational KPIs and performance metrics, leveraging data to identify trends, risks, and efficiency opportunities across functions.
• Serve as a senior escalation point for complex or high impact operational events, particularly those involving trading activity, market events, and corporate actions.
• Partner with Technology, Product, and external vendors to ensure operational workflows are aligned with platform capabilities and integrated effectively.
• Ensure all operational activity aligns with FINRA, SEC, and internal risk and control frameworks, with strong focus on trading supervision, asset servicing oversight, and cash controls.
• Support onboarding and implementation efforts by ensuring operational readiness and seamless transition into steady state processing, particularly for trading and servicing capabilities.
• Oversee third party relationships, including clearing firms and vendors, ensuring service quality, performance, and alignment with operational standards.
• Oversee CAT reporting, partnering with the clearing broker-dealer to ensure accuracy, resolve errors, and maintain accountability for reporting performance.
• Support Rule 606 reporting and RIA best execution obligations, coordinating with the clearing broker-dealer to ensure accurate disclosures and timely handling of advisor inquiries.
• Support regulatory exams, audits, and internal reviews, ensuring strong documentation, controls, and responsiveness.
• Identify opportunities to simplify workflows, reduce friction, and improve efficiency across the operational lifecycle.

What we value:

• Deep experience in broker dealer operations, with strong expertise in trading operations and asset servicing (corporate actions).
• Demonstrated ability to operate in time sensitive, event driven environments such as trading and corporate actions.
• Strong understanding of RIA and enterprise RIA operating models, including centralized investment and servicing structures.
• Experience supporting multi-asset class environments, including equities, mutual funds, fixed income, alternative investments, and derivatives (including listed options), with an understanding of the operational nuances and servicing requirements across products.
• Experience working with and integrating third-party platforms, more specifically CRM, investment analytics, portfolio management systems, and financial planning tools
• Proven ability to build and scale operational teams and processes in a growing platform or new business environment.
• Experience with trading regulatory reporting, including CAT and Rule 606, within an introducing broker-dealer model.
• Strong knowledge of risk, controls, and regulatory frameworks, particularly related to trading and asset servicing.
• Experience leveraging automation, AI, and data to improve operational efficiency and scalability.
• Ability to operate across complex workflows while maintaining clarity, control, and accountability.
• Strong cross-functional partnership skills across service, product, technology, and compliance teams.
• Clear communicator with strong leadership presence and sound decision making ability.

Education & Preferred Qualifications:

• Undergraduate degree.
• 5 – 7 + years of relevant experience in broker dealer, custody, or financial services operations; with a focus on trading.
• 2 – 4 + years of leadership experience preferred.
• Industry Licenses: Series 7 and 24 required; Series 57 required within the specified timeframe; Series 4 preferred.

Salary Range:

The range quoted above applies to the role in the primary location specified. If the candidate would ultimately work outside of the primary location above, the applicable range could differ.

Employees are eligible to participate in State Street's comprehensive benefits program, which includes: our retirement savings plan (401K) with company match; insurance coverage including basic life, medical, dental, vision, long-term disability, and other optional additional coverages; paid-time off including vacation, sick leave, short term disability, and family care responsibilities; access to our Employee Assistance Program; incentive compensation including eligibility for annual performance-based awards (excluding certain sales roles subject to sales incentive plans); and, eligibility for certain tax advantaged savings plans.

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