Posting Description
Summary: The Vice President, Asset Management Operations is responsible for supporting the evaluation and continuous improvement of operational processes across asset management functions. This role focuses on analyzing key performance indicators (KPIs), identifying trends and areas for improvement, and partnering with leadership to enhance service delivery, efficiency, and consistency.
The role plays a key part in supporting initiative prioritization, improving process execution, and ensuring operational alignment with business and regulatory requirements. A critical component of this position is leveraging and supporting the firm's core operational platform, ensuring data integrity and effective utilization across teams.
JOB ACCOUNTABILITIES:- Evaluate key operational processes to identify inefficiencies and improvement opportunities
- Analyze workflows to identify delays, errors, and trends
- Recommend enhancements to improve efficiency, quality, and scalability
- Partner with leadership to support ongoing process improvements
- Product/Platform Readiness - Facilitate delivery of new products/processes; from process formulation, documentation, training (internal/external), communications, to client delivery
KPI Monitoring, Reporting & Insights- Monitor and report on KPIs across operations
- Track trends such as error rates, turnaround times, and NIGO trends
- Identify areas for improvement and recommend actionable solutions
- Support development of reporting and dashboards for leadership visibility
Prioritization & Initiative Support- Support prioritization of operational initiatives in partnership with leadership
- Assist in tracking progress against key milestones
- Help coordinate execution and identify risks or delays
- Provide updates and insights to support decision-making
Systems & Data Integrity- Act as a subject matter expert on operational systems and workflows
- Ensure accurate and consistent data usage across processes
- Identify gaps in system usage and data quality
- Partner with technology teams to provide input on enhancements
Compliance Support & Operational Oversight- Support adherence to FINRA, SEC, and Broker Dealer requirements
- Monitor operational metrics tied to compliance (error rates, audit findings)
- Partner with Compliance to identify risks and implement improvements
- Ensure processes align with regulatory expectations
Training & Capability Development- Coordinate and support training programs for employees and advisors
- Develop training materials aligned with processes and systems
- Deliver flexible training approaches tailored to varying experience levels
- Coordinate resources to deliver timely and effective training
- Evaluate effectiveness of training and recommend improvements
Collaboration & Stakeholder Support- Collaborate across operations, advisory, compliance, and technology teams
- Provide insights and recommendations to support business decisions
- Support alignment across teams to improve consistency and execution
JOB COMPETENCIES:- Broker-dealer operations and regulatory frameworks (FINRA, SEC)
- Asset management products (managed money, annuities, alternatives, HNW)
- Operational systems and workflows
- Investment and market fundamentals
- Process improvement principles
Required Skills/Abilities- Strong analytical and KPI interpretation skills
- Ability to identify trends and recommend practical improvements
- Strong organization and prioritization
- Ability to support multiple initiatives
- Effective communication and collaboration
- Ability to navigate and improve complex systems
- Experience supporting training or onboarding efforts
Required Behaviors/Attitudes- Detail-oriented with strong execution focus
- Proactive and solution-oriented
- Collaborative and team-focused
- Adaptable in a changing environment
- Strong accountability and ownership
- Commitment to continuous improvement
EDUCATION/EXPERIENCE/LICENSE REQUIREMENTS:- 4-year college degree required. Advanced degree a plus
- 10+ years in financial services or operations experience in process improvement and performance analysis
- Series 7, Series 24 a plus
What We Offer: We're proud to offer a competitive salary, PTO & paid holidays, 401(k) with match, exclusive discount programs, health & wellness programs, and more. Our PeopleFirst culture focuses on building and nurturing lifelong relationships with our employees because, at the end of the day, we exist to be there for others. The base salary range for this position is $117,000.00 - $200,000.00. The base salary offered will be determined by factors including, but not limited to, experience, credentials, education, certifications, skill level required for the position, the scope of the position, and geographic location. Actual base salary offered will be determined on a case-by-case basis. In addition to the base salary, this position may be eligible for performance-based incentives.
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VPASS015545
