VP, Asset Management Operations

Evaluate key operational processes

The Vice President, Asset Management Operations is responsible for evaluating key operational processes to identify inefficiencies and improvement opportunities. This includes analyzing workflows to identify delays, errors, and trends.

Analyze workflows and recommend enhancements

• Identify areas for improvement and recommend actionable solutions
• 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

• Maintain and monitor key performance indicators (KPIs)
• Report on 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
• Aid in tracking progress against key milestones
• 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

Required Skills/Abilities

• Strong analytical and KPI interpretation skills
• Ability to identify trends and recommend practical improvements
• Strong organization and prioritization skills
• Effective communication and collaboration
• Proactive and solution-oriented approach
• Adaptable in a changing environment
• Detail-oriented with strong execution focus
• 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