Vice President, Equity Operations

Our client is seeking an experienced Vice President, Equity Operations professional to join its securities operations organization in Florida.

This is a senior, hands-on operations role for an individual with a strong broker-dealer background and experience supporting equity and P&S-related functions. The successful candidate will have a thorough understanding of the securities trade lifecycle and be comfortable managing day-to-day operational activity, resolving complex issues, strengthening controls, and partnering with technology teams on operational enhancements.

The role will also have a leadership component, with responsibility for providing direction to team members, serving as a senior escalation point, and helping drive improvements across the broader operations function.

Key Responsibilities:
Equity & P&S Operations

Provide senior-level oversight of daily equity operations and related P&S activities.

Support the full trade lifecycle from trade capture and processing through settlement and post-trade activity.

Monitor trade and transaction activity, ensuring operational issues and exceptions are identified and resolved appropriately.

Oversee complex trade corrections, cancellations, adjustments, and other transaction-related issues.

Partner with internal teams to resolve breaks, discrepancies, and operational exceptions.

Maintain strong operational controls around transaction processing, reconciliations, and account activity.

Serve as a senior escalation point for complex operational matters.

Process & Operational Management

Evaluate existing processes and identify opportunities to improve efficiency, scalability, and risk management.

Establish and maintain procedures, controls, and operational documentation.

Analyze recurring issues and work with stakeholders to identify root causes and implement sustainable solutions.

Help establish appropriate workflows and responsibilities across Operations, Trading, Technology, Finance, and other business functions.

Monitor operational activity and provide management with insight into risks, trends, and areas requiring attention.

Support the development of scalable processes as the business grows.

Systems, Testing & Implementation

Participate in system implementations, upgrades, enhancements, and other technology initiatives affecting Operations.

Translate operational needs into clear business and functional requirements.

Develop and execute test cases covering normal processing, exceptions, corrections, and other operational scenarios.

Lead or participate in UAT and system validation, ensuring functionality meets business requirements.

Identify defects and operational gaps, assess their impact, and coordinate resolution with Technology and other stakeholders.

Support parallel testing, implementation planning, production readiness, and post-implementation validation.

Partner with Technology and Product teams to improve operational systems and workflows.

Leadership & Team Development

Provide day-to-day guidance and subject matter expertise to operations team members.

Act as a resource for complex P&S and equity-related questions and escalations.

Mentor and develop junior professionals while promoting strong operational practices.

Help establish training materials, procedures, and best practices for the team.

Participate in hiring and onboarding as the operations organization continues to develop.

Take a leadership role in driving accountability, quality, and continuous improvement across the team.

Required Qualifications:

6+ years of experience in securities operations, preferably within a broker-dealer environment.

Strong hands-on experience with equity operations, P&S, or related trade operations functions.

Solid understanding of the U.S. securities trade lifecycle.

Experience with trade processing, transaction activity, corrections, exceptions, reconciliations, and settlement-related processes.

Demonstrated experience working with operational controls and risk management processes.

Hands-on experience with system testing, UAT, implementations, or significant technology enhancements.

Ability to work effectively with Technology, Product, Trading, Compliance, Finance, and other cross-functional teams.

Strong analytical and problem-solving skills.

Excellent communication skills and the ability to operate effectively as a senior member of an operations organization.

Ability to work in a fully on-site environment in Southwest Florida.

Preferred Qualifications:

Prior team lead, supervisory, or people-management experience.

Experience supporting a broker-dealer's P&S or clearing operations.

Experience with equity trade processing and post-trade workflows.

Familiarity with DTCC, NSCC, DTC, or other industry infrastructure.

Experience participating in operational transformation or process redesign initiatives.

Experience supporting new system implementations or significant platform enhancements.

Experience creating test plans, business requirements, procedures, or operational documentation.

Exposure to multiple securities products and transaction types.

Ideal Candidate:
The ideal candidate is a senior broker-dealer operations professional who combines strong P&S/equity expertise with leadership capability. They should be comfortable getting into the details of operational issues while also taking a broader view of processes, controls, technology, and team performance.

This person should have a track record of identifying operational problems, working cross-functionally to solve them, and helping implement sustainable improvements. Experience leading a team or serving as a senior subject matter expert is highly valued, as is the ability to take ownership of testing, implementations, and operational change initiatives.

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