Asset & Wealth Management Operations-Shareholder Services -Client Operations-Dallas-Vice President

Primary Responsibilities

• Serve as a senior point of engagement for institutional clients, intermediaries, and sales partners.
• Lead service reviews and nurture enduring, trusted advisor relationships with key accounts, ensuring alignment of objectives and a consistently positive client experience.
• Own end-to-end daily processing for account reconciliation, money movements (purchases, redemptions, dividends), corporate actions, and books and records maintenance with custodian banks, transfer agents, and fund administrators; ensure timely, accurate, and audit-ready execution.
• Design, document, and continuously enhance controls, key risk indicators, and SOX-aligned procedures; lead Risk and Control Self-Assessments and drive timely identification, escalation, and resolution of operational incidents.
• Coach, lead, and develop a team of Analysts and Associates; set performance objectives, collaborate on career development plans, and foster an inclusive, high-performing culture aligned with the firm's Business Principles.
• Oversee adherence to SEC, FINRA, ERISA, and DOL requirements, including N-PORT, N-CEN, NFMP, and year-end tax reporting; partner with Legal and Compliance on filings, disclosures, and policy updates.
• Lead strategic client and internal initiatives, manage complex product events, and support new product/platform launches across broker-dealers, clearing firms, RIAs, TPAs, and retirement recordkeepers.
• Deliver reporting on operational performance, risk posture, client metrics, product flows, and team capacity; represent Operations in governance forums and client meetings.

Qualifications

• Bachelor's degree from a four-year college or university required, MBA, CFA, or relevant professional certification a plus.
• 7+ years of progressive experience in asset management operations, mutual fund operations, transfer agency, or related financial services functions.
• Expertise in mutual funds, ETFs, Collective Trusts, money market funds, alternative investment vehicles, and ERISA retirement plan structures.
• Strong critical thinking, analytical, and problem-solving skills with a control/risk mindset and keen attention to detail.
• Proficiency with tools of the trade: advanced Excel, Portfolio Accounting Systems (PAS), CRM platforms, emerging AI applications, custodial portals, and collaborative workflow tools such as Confluence and Jira.
• Exceptional client service orientation with the proven ability to manage senior client relationships and navigate sensitive escalations.
• Exceptional written and verbal communication skills, with the ability to engage and build consensus among stakeholders at every level.
• Licensing may be required for certain responsibilities: FINRA Series 7 and 63 preferred; Series 24 or 65 a strong plus.
• Proven capacity to perform with composure and effectiveness in a fast-paced, deadline-driven, highly regulated environment.