About This Role
This leadership role is for a highly strategic and process-oriented Vice President of Regional Operations, serving as the vital link between corporate strategy and regional execution. The role involves leading, scaling, and optimizing daily operations across a multi-location footprint.
Responsibilities
- Standardize and optimize workflows for client onboarding, asset transfers (ACATS), and cashiering across all regional branches
- Manage, mentor, and evaluate Regional Operations Leads and Senior Client Service Associates in a remote environment
- Oversee the adoption and optimization of the core operational technology stack (e.g., Salesforce CRM, Orion, Tamarac, or similar wealth management platforms)
- Partner closely with the Chief Compliance Officer (CCO) to ensure all regional workflows strictly adhere to SEC/FINRA regulations and fiduciary standards
- Serve as the primary point of contact for institutional custodians and key third-party technology vendors, while managing Service Level Agreements (SLAs)
- Define and monitor regional operational metrics (such as processing turnaround times, error rates, and client satisfaction) and report directly to the C-suite
Requirements
- 8+ years of operations management experience in the financial services, wealth management, or Registered Investment Advisor industry, including at least 3 years in a senior executive leadership role
- Proven experience in successfully managing distributed, multi-location, or fully remote teams
- In-depth understanding of U.S. Securities and Exchange Commission (SEC) compliance requirements, client data security standards, and back-office operational processes for banking/custodial services
- Bachelor’s degree in Business Administration, Finance, or a related field
Nice to have:
- Professional certifications (e.g., CFP®, CFA) or securities licenses (e.g., Series 65, Series 24)
- Experience leading large-scale Customer Relationship Management (CRM) system migrations or operational automation initiatives
Benefits
- 401(k)
- 401(k) matching
- Dental insurance
- Health insurance
- Vision insurance