Who we are looking for

Wealth Custody and Clearing is seeking an experienced Vice President,TradeOperations to lead the execution and scaling of brokeragetradeoperations for our introducingbroker dealerplatform. This roleis responsible foroverseeing coretradingfunctions—including TradeSupport, Asset Servicing (Corporate Actions),Corrections,Vendor Relations,and Reconciliation—ensuring activities are executed accurately, efficiently, andin accordance withregulatory and internal control standards.

This role is ideal for ahands-onleader who thrives in building, stabilizing, and scalingtradingorganizations,not justmaintainingthem. The Vice President serves as the central operator across the platform, with particular emphasis on trading execution and asset servicing delivery, ensuringtimesensitiveandeventdrivenprocesses are handled with precision, urgency, and control.

We are seeking a leader who combines deeptradingexpertisewith strong judgment,peopleleadership, and a modern,technologyforwardmindset. This role requires fluency across the full lifecycle of introducingbrokerdealeroperations—including trading, corporate actions, cash movement, onboarding, and account management—while ensuring operations enable, rather than constrain, the advisor experience.

The ideal candidate will also bring experience supporting RIA and enterprise RIA operating models, including centralized investment and servicing structures. Strong familiarity with thirdparty platforms and ecosystem partners is critical to ensuring operational alignment and scalability.

The Vice President plays a key role in embedding automation, AIenabled workflows, and datadriven decisionmaking into core operations, ensuring the platform evolves toward a more efficient, scalable, and resilient model. Reporting to theManaging Director of Operations,this role is accountable for building highperforming teams and delivering consistent,highqualityexecution as the business grows.

Why this role is important to us

As Wealth Custody and Clearing scales, operational excellence is foundational to client trust, regulatory integrity, and platform performance. Everyadvisorinteraction,whether executing trades, servicing assets, moving cash, or onboarding a client,depends on operations functioning accurately and predictably behind the scenes.

This role is critical to ensuring the platformoperateswith both precision and scale, with particular focus on trade lifecycle integrity and asset servicing accuracy in timesensitive and eventdriven environments. The Vice President ensures operational workflows are not only compliant, but also streamlined, automated, and aligned to a service model that minimizes friction for advisors.

In close partnership with Client Service & Advisor Experience, this role enables a model where routine operational activity is handled efficiently through automation, while complex events,particularly in trading and corporate actions,are managed withexpertise, control, and urgency.

What you willbe responsible for

• Lead and oversee day‑to‑day brokerage operations, with direct accountability for Trading Support and Asset Servicing (Corporate Actions), including leading advisor‑facing trading support for inbound requests, trade inquiries, and time‑sensitive issues, ensuring rapid triage, clear communication, and consistent resolution.

• Collaborate with peers and cross functional leaders to supportCashiering, Account Operations, and Client Onboarding.

• Ensure end‑to‑end trade lifecycle execution (order support, allocations, booking, settlement) is accurate, timely, and aligned with market structure, regulatory requirements, and client expectations, while supporting advisor‑facing trading needs, including inbound inquiries, issue resolution, and time‑sensitive trade support.

• Ensure operational readiness and support across a broad range of asset classes, including equities, mutual funds, fixed income, alternatives, and derivatives (including listed options),maintainingaccuracy, control, and consistent advisor experience across product types.

• Oversee asset servicing and corporate actions processing, including voluntary and mandatory events, ensuringaccurateentitlements,timelyelections, proxy support, and advisorfacing issue resolution.

• Build, lead, and develop highperforming teams, reinforcing a culture of accountability, precision, ownership, and continuous improvement.

• Design and continuously refine operational workflows, controls, and procedures to ensure scalability, efficiency, and alignment with regulatory expectations.

• Partner closely with Client Service & Advisor Experience to ensure seamless coordination between advisorfacing service and operational execution, particularly for trading issues, servicing events, andtime‑sensitiverequests.

• Drive the adoption of automation, AIenabled workflows, and systemdriven processing, particularly within highvolume trading and asset servicing activities.

• Establish andmonitoroperational KPIs and performance metrics,leveragingdata toidentifytrends, risks, and efficiency opportunities across functions.

• Serve as a senior escalation point for complex orhighimpactoperational events, particularly those involving trading activity, market events, and corporate actions.

• Partner with Technology, Product, and external vendors to ensure operational workflows are aligned with platform capabilities and integrated effectively.

• Ensure all operational activity aligns with FINRA, SEC, and internal risk and control frameworks, withstrongfocus on trading supervision, asset servicing oversight, and cash controls.

• Support onboarding and implementation efforts by ensuring operational readiness and seamless transition into steadystate processing, particularly for trading and servicing capabilities.

• Overseethirdpartyrelationships, including clearing firms and vendors, ensuring service quality, performance, and alignment with operational standards.

• Oversee CAT reporting, partnering with the clearingbroker‑dealerto ensure accuracy, resolve errors, andmaintainaccountability for reporting performance.

• Support Rule 606 reporting and RIA best execution obligations, coordinating with the clearingbroker‑dealerto ensureaccuratedisclosures andtimelyhandling of advisor inquiries.

• Support regulatory exams, audits, and internal reviews, ensuring strong documentation, controls, and responsiveness.

• Identifyopportunities to simplify workflows, reduce friction, and improve efficiency across the operational lifecycle.

What we value

• Deep experience inbrokerdealeroperations, with strongexpertisein trading operations and asset servicing (corporate actions).

• Demonstrated ability tooperatein timesensitive, eventdriven environments such as trading and corporate actions.

• Strong understanding of RIA and enterprise RIA operating models, including centralized investment and servicing structures.

• Experience supportingmulti‑assetclass environments, including equities, mutual funds, fixed income, alternative investments, and derivatives (including listed options), with an understanding of the operational nuances and servicing requirements across products.

• Experience working with and integratingthird‑partyplatforms, more specifically CRM, investment analytics, portfolio management systems, and financial planning tools

• Proven ability to build and scale operational teams and processes in a growing platform or new business environment.

• Experience with trading regulatory reporting, including CAT and Rule 606, within an introducingbroker‑dealermodel.

• Strong knowledge of risk, controls, and regulatory frameworks, particularly related to trading and asset servicing.

• Experienceleveragingautomation, AI, and data to improve operational efficiency and scalability.

• Ability tooperateacross complex workflows whilemaintainingclarity, control, and accountability.

• Strong crossfunctional partnership skills across service, product, technology, and compliance teams.

• Clear communicator with strong leadership presence and sounddecisionmakingability.

Education & Preferred Qualifications

• Undergraduate degree.

• 5–7+ years of relevant experience inbroker dealer, custody, or financial servicesoperations;with afocus on trading

• 2–4+ years of leadershipexperiencepreferred.

• Industry Licenses: Series 7 and 24 required; Series 57 required within the specified timeframe; Series 4 preferred.