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State Licensed VP of OperationsVirtualVocations • Littleton, Colorado, United States
State Licensed VP of Operations

State Licensed VP of Operations

VirtualVocations • Littleton, Colorado, United States
Hace 3 días
Tipo de contrato
  • A tiempo completo
Descripción del trabajo
Leading broker-dealer and RIA back-office operations, the full-time remote State Licensed VP of Operations will manage account onboarding, compliance oversight, and operational transformations while developing a high-performing team and ensuring regulatory adherence. Key responsibilities Oversee all aspects of broker-dealer operations, including account maintenance, trading support, and compliance with regulatory standards Conduct talent assessments and develop a team of approximately 40 FTEs, fostering a culture of accountability and continuous improvement Lead the implementation of new technologies and processes to enhance operational efficiency and reduce risk in a regulated environment Required qualifications 12-15+ years of experience in financial services with a focus on broker-dealer operations leadership Deep expertise in regulatory frameworks including FINRA, SEC, and MSRB Proven success in leading operational transformation and technology modernization initiatives Strong executive presence with the ability to influence senior stakeholders Bachelor's degree required; MBA highly desirable; Series 65 and 24 registrations required, Series 27 preferred
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State Licensed VP of Operations • Littleton, Colorado, United States

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