VP - Operations – Regulatory & Compliance

The Opportunity

The VP – Operations helps create and deliver the operational strategy, execution and continuous improvement for our Regulatory & Compliance Business Unit. This leader will align to and support the Catalis-wide business process optimization framework, with a major emphasis on modernizing our processes, technology, and talent, to create a platform for customer retention and growth within the Business Unit. The scope of the Business Unit includes solutions that support 529 College Savings Plans, Regulatory Financial Services and Unemployment Insurance compliance solutions.

What You Will Do

• Operational Excellence

• Oversee daily operations across all functions -- record-keeping, customer contact centers, financial reconciliation and fund accounting, trade settlement, account-level servicing, fulfillment services and compliance.
• Develop and maintain SOPs to improve efficiency and reduce operational risk.
• Oversee contract performance to ensure compliance with contractual obligations, achievement of SLAs and delivery of services in accordance with agreed upon terms and performance standards.
• Monitor KPIs and operational performance metrics (enrollment, contributions, redemptions, fulfillment, contact center, reporting).

• Regulatory Compliance & Reporting

• Ensure regulatory compliance with IRS, SEC, and/or other federal and/or state regulatory authorities.
• Oversee federal and state regulatory filings, disclosures, and reports.
• Partner with legal/compliance/audit teams during audits and regulatory reviews.

• Risk Management & Internal Controls

• Implement operational risk management frameworks.
• Establish internal security protocols and controls to protect assets under management and ensure data integrity.
• Conduct periodic reviews to identify process improvements.

• Technology & Platform Management

• Lead platform, program-level and investment fund transitions and modernization initiatives.
• Drive adoption and digital workflow optimization.
• Oversee operational systems supporting recordkeeping, reporting and client servicing.
• Ensure system security, scalability, and integration with investment trading, accounting, and reporting platforms.

• Financial & Vendor Management

• Manage operational budgets and cost controls.
• Lead development of annual and longer-term business plans including KPI’s forecasting and budget planning.
• Support profitability goal through operational efficiency.
• Oversee subcontractor relationships with investment managers, custodians, transfer agents, fund administrators, output vendors and other third-party vendors.

• Stakeholder & Client Engagement

• Collaborate with internal partners (Compliance, IT, Audit, Finance, Sales, HR).
• Enhance Customer and Constituent Experience.
• Represent operations in audits, due diligence reviews and client meetings.

• People Leadership

• Build and develop high-performing teams including remote workforce leadership.
• Mentor managers and cultivate culture of accountability, innovation continuous improvement.

What You Will Need to Succeed

• Required Qualifications

• Bachelor’s degree in Finance, Business Administration, Accounting, or related field.
• MBA or advanced degree preferred.
• Proven experience in large-scale operational environments.
• Strong skills in vendor management, data analysis, operational strategy
• Experience managing budgets, KPIs, and enterprise-wide initiatives.

• Preferred Competencies

• 10+ years of experience in 529, Retirement, or financial services operations leadership.
• Strong fluency in financial processes and management
• Strategic thinking and long-term
• Change management and transformation leadership
• Technology fluency (recordkeeping systems, automation tools)
• Exceptional communication with executives and customers
• Regulatory interpretation and application to operations

What we Offer

• A dynamic and supportive work environment in a mission driven organization
• Competitive salary and benefits package, including health, dental, vision insurance
• Unlimited PTO (paid time off)
• HSA and FSA options
• 401(k) plan with matching contributions
• Paid parental leave
• ABLE matching contributions for the disability community
• Employer paid short term and long-term disability insurance and group term life insurance
• Financial and legal assistance through our EAP (Employee Assistance Program)
• Opportunities for personal development and career advancement with free access to unlimited courses via Udemy
• The chance to make a significant impact on the delivery of government services and the lives of citizens

EEO Statement

We are an equal opportunity employer and value diversity. We are committed to an inclusive environment for all. All candidates will be considered based on qualifications, merit, and business needs without regard to race, color, religion, national origin, age, non-qualifying mental or physical disability, gender (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity or expression, veteran status, or any other characteristic protected by applicable law.