Director of Brokerage and RIA Operations
MRINetwork Jobs
Job Description
Job Description
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 View email address on us.fitly.work. Please refer to job reference code NB/DBRIAWI in the subject line.
- NO CALLS PLEASE
Vacancy posted a month ago
Similar jobs that could be interesting for youBased on the Director of Brokerage and RIA Operations in Green Bay, WI vacancy
- ...for the packaging, corrugating, sheeting and paper-converting industries. By blending people-centric leadership with disciplined operational strategies and purpose-driven growth, Barry-Wehmiller has become a $3 billion organization with nearly 12,000 team members united...OperationsFull time
- ...passionate people to join our team as we continue leading the industry. Position Details The Executive Vice President of Commercial Operations helps shape the strategic vision and direction for Imperial Supplies while providing leadership across key commercial functions...OperationsLocal areaRelocation
- ..., and a proud member of Vista Senior Living, is looking for a Director of Wellness (RN) to enrich the lives of our residents. Position... ...and providing day-to-day direction to ensure smooth clinical operations Reviews and monitors clinical documentation completed by...OperationsShift work
Eden Senior Care
Green Bay, WI13 days ago $200k - $250k
...fintech company. This is an individual-contributor role with broad, independent ownership: you'll split your time between hands-on HR operations - onboarding, leave administration, HRIS data integrity, compliance - and higher-level strategic work, including performance...OperationsFull timeWork from homeFlexible hoursParafin
Howard, WI14 days ago- ...for customers nationwide. This role sits at the heart of that operations organization, partnering with plant and distribution leaders to... ...located across multiple states, ranging from Operations Directors and managers down to plant and distribution supervisors, warehouse...OperationsHourly payPermanent employmentFull timeH1bLocal areaVisa sponsorshipWork visa
National Carwash Solutions
De Pere, WIa month ago - ...Job Description Job Description Director of Human Capital & Recruiting JOB DESCRIPTION Position : Director of Human Capital... ...is strategic and hands-on, with strong recruiting, HR operations, talent development, and interpersonal skills. Success in this...OperationsHourly payFull timeLocal area
FyterTech Nonwovens LLC
De Pere, WI21 days ago - ...Green Bay, WI POSITION TYPE: Full Time - Salary The HR Manager oversees all Human Resources functions and acts as a front-line operational support and internal business partner for our client's Green Bay manufacturing site. This role encompasses both manufacturing...OperationsFull timeWork at officeShift work
Symbiotic Corp.
Green Bay, WI4 days ago $5,000 per month
...valid driver license for the type(s) of vehicles which may be driven and an acceptable driving record as determined by the DOT Operations Director and Michels Legal DepartmentAble to attract, develop and retain talentPHR/SPHR/SHRM-CP/SHRM-SCP Certification (desired)Strong...OperationsTemporary workWork at officeFlexible hours$40k - $50k
...Chick-fil-A Green Bay Director of Hospitality The Director of Hospitality is responsible for overseeing the operations of the front of house and drive-thru at Chick-fil-A Green Bay. The position reports to the Owner/Operator. The mission of the Director of Hospitality...OperationsTemporary workWork at officeMonday to FridayFlexible hoursShift workWeekend work1 day per week$99.2k - $148.8k
...Human Resources Manager About Us: TreeHouse Foods is a leading manufacturer of private label packaged foods and beverages, operating a network of over 20 production facilities and several corporate offices across the United States and Canada. At TreeHouse Foods,...OperationsFull timeContract workWork at officeImmediate startAll shiftsShift workDay shiftTreeHouse Foods
Green Bay, WI5 days ago- ...other regulatory requirements applicable to the organization’s operations Oversees incident investigations, root-cause analyses, and... ...Requirements Qualifications: 10+ years of experience in a Human Resource Director level role, required Bachelor’s degree in HR or related field,...OperationsLocal area
BayView Industries of Green Bay Inc.
Green Bay, WI1 day ago - ...that we are here to serve. Roles & Responsibilities: The Director of Talent is responsible for overseeing the recruitment and retention... ...at Chick-fil-A Green Bay. The position reports to the Owner/Operator. This position requires working in the restaurant/operations to...OperationsInternshipWork at officeShift workWeekend work
Chick-fil-A
Green Bay, WI5 days ago $5,000 per month
...valid driver license for the type(s) of vehicles which may be driven and an acceptable driving record as determined by the DOT Operations Director and Michels Legal DepartmentAble to attract, develop and retain talentPHR/SPHR/SHRM-CP/SHRM-SCP Certification (desired)Strong...OperationsTemporary workWork at officeFlexible hoursMichels
Green Bay, WI1 day ago- ...business reviews Track account performance and flag sales trends, inventory issues, and growth opportunities Partner across Operations, Marketing, Customer Service, Supply Chain, and Product Management to resolve issues Support our CoverLite, Home Harvest...OperationsFull time
Amerilux Family Of Companies
Green Bay, WImore than 2 months ago $150k
...is an organization in the Green Bay area that’s looking for a Director of HR. Our client is looking for someone with 8+ years of experience... ...processes, team effectiveness, and overall department operations. Ensure HR policies, programs, benefits, and employment practices...OperationsLocal area- ...FyterTech in De Pere, Wisconsin seeks an experienced Director of Human Capital & Recruiting to lead HR operations, talent acquisition, and employee development. You will build scalable systems, align people initiatives with business goals, and report to the CFO. The role...Operations
Fytertech
De Pere, WI3 days ago $5,000 per month
...function from the ground up. As a founding member of the Enterprise Intelligence team, this role will shape the policies, standards, operating routines, and accountability model that make data trusted, discoverable, and usable across the business. The role will also...OperationsTemporary workFlexible hours- ...part time Store Supervisor for our location in De Pere, WI. As a Store Manager, you will assist the General Manager in managing the operations and staff on a day to day basis, including the execution of all company policies, procedures, programs and systems. The store...OperationsFull timePart timeLocal areaImmediate start
Dunkin' - DePere
Green Bay, WI1 day ago $5,000 per month
...revolves around a commitment to quality We are family owned and operated We invest an average of $5,000 per employee on training each... ...acceptable driving record as determined by the DOT Operations Director and Michels Legal Department Able to attract, develop and retain...OperationsTemporary workFor contractorsWork at officeFlexible hours$5,000 per month
...revolves around a commitment to quality We are family owned and operated We invest an average of $5,000 per employee on training each... ...acceptable driving record as determined by the DOT Operations Director and Michels Legal Department Able to attract, develop and retain...OperationsContract workTemporary workFor contractorsFor subcontractorWork at officeFlexible hours- ...Description POSITION SUMMARY The Associate Center Director supports the leadership and daily operations of the center, ensuring the delivery of high-quality early childhood education and care services. This position partners with the Center Director to support staff development...OperationsWork at office
EnCompass
De Pere, WI5 days ago - .../or review of financial reporting, including SEC and regulatory reporting. Actively participate in M&A activities including operational integration, system conversions, and other tasks that support the successful completion of an acquisition. Assist in the review...OperationsLocal area
Nicolet National Bank
Green Bay, WI4 days ago - Job Summary The Director, Pediatric Critical Care Services provides strategic, operational, and clinical leadership for pediatric critical care programs at Wolfson Children’s Hospital. Responsible for the 24/7 oversight of critical care operations, this leader ensures...OperationsFull time
- ...lending interactions. Problem Resolution & Issue Management: ~ Research and resolve account discrepancies and issues. Operational Excellence, Risk & Compliance: Adhere to regulations and operational standards. Support teller and vault operations as...OperationsTemporary workWork at officeLocal area
Nicolet National Bank
Green Bay, WI5 days ago - ...Works with the client and under the supervision of VP Regional Director to obtain information and prepare risk profiles and if... ...the firm during new client onboarding, working closely with the operations team. Develops asset allocation strategies and works with the...OperationsBank staffWork at officeLocal area
Nicolet National Bank
Green Bay, WI4 days ago $61k - $119k
..., including Northwestern Long Term Care Insurance Company (NLTC), Northwestern Mutual Investment Services, LLC (NMIS) (Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management...Full timeContract workFor contractorsWork at officeNorthwestern Mutual Life Insurance Company
De Pere, WI4 days ago- ...Your Role As a Treasury Analyst , you will report directly to the Treasury Manager and support the full scope of global treasury operations for a fintech and cryptocurrency platform with thousands of kiosks operating across multiple countries. You will be responsible for...OperationsRemote work
- ...ALM), bank funding, interest rate risk management, and ALCO process, etc. A focus of this role will be to manage day to day cash operations and strategy for Nicolet Bank. The role will allow for creativity and freedom to solve complex financial problems faced at the organization...OperationsWork at officeLocal area
- Position Impact Lead a team of Purchasing and Demand Planning experts while helping to achieve our corporate goals for sales, profit margin, inventory turnover and management of our vendors, categories and SKUs. Essential Job Functions Develop and implement...Work at officeFlexible hours
Englewood Marketing
Green Bay, WI5 days ago - ...Recreation Director This position requires good management skills, tact, sensitivity and professionalism due to constant interaction with residents and families. Responsibilities of the Recreation Director: Develop approaches/interventions to meet the psychosocial needs...
Continuum Healthcare, LLC
Green Bay, WI2 days ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Director of Brokerage and RIA Operations. Be the first to apply!
Related searches
- business operations director Green Bay, WI
- director field operations Green Bay, WI
- operations manager cleaning Green Bay, WI
- radiology operations manager Green Bay, WI
- golf operations manager Green Bay, WI
- full time operations manager Green Bay, WI
- director of operations - healthcare Green Bay, WI
- director operations support Green Bay, WI
- hvac operations manager Green Bay, WI
- operations officer Green Bay, WI