As aVice President, Client Safeguarding Team Lead, you will lead a specialized front-line escalation team within the Wealth Management service organization responsible forfraud/scam, AML-related concerns, and Elder/Vulnerable Person (EVP) escalationsrouted through service channels. This isnot a generalist service role94it requires strong investigative judgment, regulatory awareness, and the ability to ensure complex cases are owned end-to-end while balancing client protection, policy adherence, and a high-quality client experience.

You will be accountable for building a high-performance culture centered onclient obsession, hospitality, and safeguarding, while ensuring a strongrisk and control environment. You will partner closely with client-facing teams, operations, risk/control partners, and other stakeholders to drive consistent, timely outcomes and to identify trends that strengthen controls and reduce repeat issues.

Target operating hours:Monday 6riday 7 a.m. 68 p.m. CST (8 a.m. 69 p.m. EST) and Saturday 8 a.m. 64 p.m. CST (9 a.m. 65 p.m. EST).

Job Responsibilities

• Lead and developa teamof licensed safeguarding/escalations professionals; set clear expectations, coach for performance, and create a culture of excellence, client obsession, and high performance.
• Champion a Client First cultureby delivering a best-in-class experience in high-stakes interactions, ensuring professionalism, empathy, and clarity while executing safeguarding actions aligned to policy and controls
• Drive talent and performancestrategies, including coaching, development, promotion planning, and structured call monitoring/quality reviews to ensure consistent client interactions and case outcomes.
• Foster and enforce a culture of risk and control, acting with appropriate urgency and responsibility to safeguard customers and the business.
• Partner closely across the firm(e.g., Wealth Management Client Operations, advisors, servicing teams, risk/control partners, and Global Securities & Investigations GSI) to drive timely, consistent resolution and escalation governance.
• Review and validateoutcomesfor repeat-caller and high-risk accounts; correct gaps in rationale, documentation, or controls execution; and ensure audit-ready case records.
• Evaluate and govern exceptionsto standard procedures, determining appropriateness and coordinating approvals and documentation.
• Identify trends and recurring driversof escalations to inform process improvements, controls enhancements, training needs, and client experience improvements; participate in working groups, pilots, and projects supporting the safeguarding operating model.
• Promote diversity and inclusion, setting the tone and proactively implementing solutions that strengthen team culture and effectiveness.
• Maintain readinessthrough ongoing learning of evolving fraud typologies, policy updates, and relevant regulatory guidance (e.g., FINRA 2165 and applicable state laws).

Required Qualifications, Capabilities, and Skills

• Active FINRA Series 7andSeries 63 (or equivalent)required, including meeting continuing education requirements; ability to maintain registration in all 50 states/territories, as applicable.
• FINRA Series 9/10 (or equivalent)required or ability to obtain within a defined onboarding period as a condition of employment.
• Demonstrated ability to makehigh-impact fraud/EVP escalation decisions under pressurewhile adhering to policy, controls, and regulatory requirements.
• Strongrisk, compliance, and control mindsetwith consistent execution and sound judgment to safeguard customers and the business.
• Provenleadership and people developmentexperience with a track record of developing and coaching high-performing teams.
• Outstanding client communication skills (phone and written), including de-escalation, empathy, and confidence in difficult conversations.
• Strong documentation discipline and ability to produce clear, auditable case notes suitable for regulatory, legal, and internal review.
• Ability to partner across the firm, influence outcomes in a matrixed environment, and collaborate with various teams to define/execute the teams strategic vision
• Strong prioritization, urgency, execution, and delivery; ability to manage competing deadlines in a fast-paced environment.
• High degree of investment services/product acumen and keen interest in financial markets.

Preferred Qualifications, Capabilities, and Skills

• 5 years of financial services/brokerage experience, with exposure to fraud, disputes, AML/fraud operations, or fraud/safeguarding/EVP handling.
• Experience within a service center and/or segmented/affluent service model, including first-line escalation handling and comfort with a call-center construct.
• Demonstrated ability to recruit, source, and attract internal/external talent by building and maintaining a personal network of contacts.
• Familiarity with a wide array of financial products and complex service transactions (e.g., money movement, transfers, complex trade requests) that can elevate fraud/EVP risk.
• Bachelors degree preferred (or equivalent relevant work experience).
• Professional certifications/training in financial crime (e.g., ACAMS-related credentials) a plus.
• Demonstrated experience contributing to process improvement, thematic root-cause identification, and control enhancements in an escalations environment.