VP, Brokerage & Advisory Operations

This position is posted by Jobgether on behalf of a partner company. We are currently looking for a VP, Brokerage & Advisory Operations in the United States.

This senior leadership role is responsible for shaping and running the full spectrum of broker-dealer and RIA back-office operations within a highly regulated financial services environment. You will drive operational excellence across onboarding, trading support, transfers, cashiering, and advisor services while ensuring strong compliance with FINRA, SEC, and MSRB requirements. Acting as a key member of the operations leadership team, you will influence enterprise strategy, modernization efforts, and risk management practices. The role blends hands-on operational oversight with large-scale transformation, including technology modernization and process redesign. You will lead a sizable organization, build scalable operating models, and elevate performance through clear metrics and accountability. This is a high-impact position where operational discipline directly supports advisor success and client experience. The environment is fast-paced, highly regulated, and transformation-focused, requiring strong executive presence and strategic execution.

• Own and lead all broker-dealer and RIA back-office operations, including onboarding, maintenance, trading support, cashiering, disbursements, ACATs/transfers, suitability, and advisor servicing.
• Define, implement, and govern operational standards, SLAs, KPIs, escalation paths, and capacity planning frameworks to ensure consistent performance and accountability.
• Oversee supervisory review of new account processes in coordination with Compliance, ensuring adherence to FINRA, SEC, and MSRB requirements.
• Strengthen regulatory control environments, lead audit and exam readiness, and manage remediation efforts for identified gaps.
• Build scalable, repeatable operational processes suited to a regulated broker-dealer environment and drive quality and consistency across functions.
• Lead major transformation initiatives, including Docupace implementation, automation, workflow digitization, and operational risk reduction.
• Partner with Technology, vendors, and shared services to improve integrations, data quality, system performance, and operational resiliency.
• Serve as a key member of the Operations leadership team, translating complex operational challenges into executive-level insights and recommendations.

Requirements

• 12–15+ years of experience in financial services with deep expertise in broker-dealer operations and enterprise-scale operational leadership.
• Proven track record leading regulated operations within FINRA, SEC, and MSRB frameworks, including regulatory exams and remediation.
• Strong experience with clearing systems, broker-dealer platforms, and operational technology integrations.
• Demonstrated success in leading large teams (~40+ FTE) and developing people leaders, succession pipelines, and high-performance cultures.
• Experience driving operational transformation, process redesign, and technology modernization initiatives in complex environments.
• Strong executive presence with the ability to influence senior stakeholders and cross-functional leadership teams.
• Data-driven decision maker with strong analytical, risk management, and problem-solving capabilities.
• Excellent communication skills with the ability to simplify complex operational and regulatory concepts.
• Bachelor’s degree required; MBA preferred.
• FINRA registrations required: Series 65 and Series 24; Series 27 preferred.

Benefits

• Competitive executive compensation package aligned with senior leadership responsibility.
• Performance-based incentive opportunities.
• Comprehensive health, dental, and vision insurance coverage.
• Retirement savings plans with employer contributions.
• Opportunity to lead enterprise-level transformation initiatives in a highly visible role.
• Strong emphasis on professional development and leadership growth.

How Jobgether works:

We use an AI-powered matching process to ensure your application is reviewed quickly, objectively, and fairly against the role's core requirements. Our system identifies the top-fitting candidates, and this shortlist is then shared directly with the hiring company. The final decision and next steps (interviews, assessments) are managed by their internal team.

We appreciate your interest and wish you the best!

 Why Apply Through Jobgether? 

Data Privacy Notice: By submitting your application, you acknowledge that Jobgether will process your personal data to evaluate your candidacy and share relevant information with the hiring employer. This processing is based on legitimate interest and pre-contractual measures under applicable data protection laws (including GDPR). You may exercise your rights (access, rectification, erasure, objection) at any time.

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