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Himalayas

VP, Brokerage & Advisory Operations

United StatesPosted about 8 hours agoVerified about 1 hour ago

About This Gig

Job Description: Operational Leadership & Execution Own and accountable for all broker-dealer and RIA back-office operations: account onboarding, maintenance, new account review, trading support, cashiering, disbursements, ACATs/transfers, suitability, and field advisor support Establish and enforce operational standards, SLAs, KPIs, and an operating cadence including capacity planning, escalation paths, and issue management Build a professional, metrics-driven environment where performance expectations are clear and consistently managed — filling a gap that currently exists Oversee supervisory functions for new account review in partnership with the Compliance team, ensuring FINRA, SEC, and MSRB obligations are met Provide regulatory and control oversight, ensuring compliance with FINRA, SEC, and MSRB; maintain strong procedures and readiness; lead exams and remediation efforts. Collaborate with vendors (e.g., Pershing, DTCC, etc.) to improve platforms, integrations, data quality

Skills & Tags

Operations VP Operations Brokerage Operations Financial Services Operations Wealth Management Operations Operations Leadership Brokerage Director Vice President Transaction Advisory VP Sales & Operations

About the Seller

Penn Mutual

on Himalayas

Pricing available on Himalayas

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