Chief of Operational Excellence (Miami)

NU Advisory Partners has been retained to find a technology-forward operations executive for a scaled, growth-oriented independent wealth platform. The firm has grown rapidly through organic expansion and acquisitions, and the infrastructure has not kept pace. This is a newly created Chief of Operational Excellence role reporting directly to the CEO, with a mandate to redesign how operations runs end-to‑end: leveraging technology and process reengineering to drive efficiency, eliminate friction, and build a scalable foundation for continued growth. The scope commands full accountability across all operational functions, such as trading, execution, commissions, and billing, consolidated under a single leader for the first time.

About NU Advisory Partners

NU Advisory Partners is an AI-native executive search and advisory firm specializing in senior executive, operating, and board roles, with deep expertise in private capital‑backed environments.

We’re breaking the mold in an industry that hasn’t changed in decades, pairing a top‑tier team with tech, data, and AI to make search smarter, faster, and built for how businesses move today. The result? A better experience for clients, candidates, and ourselves. With 2,000+ searches and deep industry expertise, we deliver high‑touch service and leadership talent that drives long‑term value.

Key Responsibilities

Operational Design and Governance

• Architect the end‑to‑end operating model: governance frameworks, process standards, and accountability structures that enable day‑to‑day reliability and long‑term scalability
• Bring all operational functions (trading, commissions, operations, and technology) under a single accountability structure with clear ownership and governance
• Establish the KPI frameworks, SLA standards, and executive dashboards that make operational performance visible and accountable in real time
• Drive continuous improvement across operational processes, identifying opportunities for automation, efficiency, and reduction in cycle times

Transaction Execution and Advisor Infrastructure

• Take end‑to‑end accountability for the operations organization, overseeing account services, asset movement, and investment product administration
• Lead the trading function, including execution standards, risk oversight, and desk performance across equities, fixed income, mutual funds, and structured products
• Own the commissions and advisor compensation function, building the infrastructure and controls that ensure accuracy, timeliness, and compliance across all products and custodian relationships
• Partner with the technology team to maintain system availability and operational continuity across platforms

Integration, Risk, and Regulatory Oversight

• Own operational due diligence and post‑close integration for acquisitions, coordinating across functions to absorb new businesses without disrupting advisors or clients
• Design the operational infrastructure to scale with geographic and business expansion, anticipating integration requirements ahead of each new transaction
• Take full responsibility for sales supervision across all markets, establishing supervisory standards, controls, and escalation structures
• Function as the firm’s senior decision‑maker on supervisory matters, regulatory interactions, and audit responses
• Partner closely with compliance and risk leadership to build a culture of controls, accountability, and operational discipline firm‑wide

Team Development and Executive Partnership

• Attract, develop, and lead functional leaders across trading, commissions, operations, and technology, building depth and continuity across the operational core
• Bring C‑suite presence to board and executive conversations, communicating operational performance and risk with clarity and credibility
• Build the cross‑functional relationships and influence needed to drive operational change across technology, legal, finance, and other business partners

Qualifications & Experience

• 15+ years of progressive operational leadership in financial services or broker‑dealer environments, with accountability spanning operations, trading, and commissions infrastructure
• Experience managing or evaluating commission systems and advisor compensation platforms across multiple products and custodians
• Demonstrated experience leveraging AI and emerging technologies to drive operational efficiency; comfortable leading adoption across a team, not just delegating it
• M&A operational integration track record, with demonstrated success absorbing acquired businesses without disruption to advisors or clients
• FINRA Series 7 and 24 required (active or reactivatable); strong working knowledge of SEC and FINRA regulatory requirements expected
• Demonstrated experience within a registered broker‑dealer and/or RIA environment
• Familiarity with major custodian platforms strongly preferred; multi‑custodian experience a plus
• MBA preferred
• Bilingual English/Spanish strongly preferred
• On‑site presence required; position based in Miami, FL

How to Apply

• Our team will review your application
• If your experience aligns with the role, we’ll reach out to discuss the opportunity further
• Even if this role isn’t the perfect match, we’ll add you to our talent network for future opportunities

At NU Advisory Partners, we’re committed to identifying and placing exceptional leaders in roles where they can drive meaningful impact. If your background aligns with this opportunity, we invite you to apply.