Trading & Asset Servicing Operations Specialist, Assistant Vice President
About The Position
Wealth Custody and Clearing is seeking an experienced Assistant Vice President, Trading & Asset Servicing Operations Specialist to support the execution of brokerage trade operations and asset servicing functions across our introducing broker-dealer platform. This role operates within the Operations team and is responsible for ensuring trading, corporate actions, and related activities are executed accurately, efficiently, and in accordance with regulatory and internal control standards. This role is ideal for a hands-on operator with strong experience in trading operations and event-driven processing, including corporate actions and trade lifecycle support. The Assistant Vice President serves as a key point of execution and control, ensuring time-sensitive activities are handled with urgency, precision, and clear communication. We are seeking an individual who thrives in a dynamic, growth-oriented environment, with the ability to operate across multiple operational domains. This role offers broad exposure across trading, asset servicing, and operational support functions, with the opportunity to evolve into a leadership role aligned to those domains as the organization scales. This individual will also play a key role in supporting an advisor-facing operating model, partnering closely with Client Service while contributing to the adoption of automation, AI-enabled workflows, and integrated platform capabilities.
Requirements
- Strong experience in broker-dealer or custody operations, with a focus on trading operations and/or asset servicing
- Solid understanding of trade lifecycle processes, including order support, allocations, settlement, and exception handling
- Experience working in time-sensitive, event-driven environments, such as trading floors or corporate actions teams
- Familiarity with multi-asset class operations, including equities, fixed income, mutual funds, alternatives, and derivatives
- Experience supporting advisor-facing servicing models, particularly for trading inquiries and issue resolution
- Ability to manage time-critical workflows and competing priorities with strong attention to detail
- Familiarity with introducing broker-dealer models and clearing firm relationships (Apex preferred)
- Experience with reconciliation, breaks, and operational controls across trading and servicing activities
- Comfort operating in a fast-paced, build environment with evolving processes
- Ability to analyze operational KPIs, organize performance metrics reporting, and identify trends and outliers
- Familiarity with internal/external audit requests and regulatory exams (FINRA, SEC)
- Experience leveraging workflow tools and platforms (Salesforce preferred)
- Undergraduate degree
- 5+ years of experience in broker-dealer, custody, or financial services operations, with a focus on trading and/or asset servicing
Nice To Haves
- Industry licenses (e.g., Series 7, Series 57) preferred or willingness to obtain
- Series 4, 24, and/or 53 a plus
- Experience in an introducing broker-dealer or RIA custody model strongly preferred
Responsibilities
- Support end-to-end trade lifecycle execution, including trade support, allocations, booking, and exception management, ensuring accuracy and timeliness
- Provide advisor-facing trading support, including handling inbound inquiries, trade issues, and time-sensitive requests with clear communication and rapid resolution
- Execute and support asset servicing and corporate actions processing, including voluntary and mandatory events, elections, and entitlements
- Assist in managing event-driven workflows, ensuring corporate actions, market events, and deadlines are tracked and executed accurately
- Support multi-asset class operations, including equities, mutual funds, fixed income, alternatives, and derivatives (including listed options)
- Identify and escalate trade breaks, operational discrepancies, and servicing issues, ensuring timely resolution and control
- Partner closely with Client Service and advisors to resolve inquiries and provide updates on trading activity and servicing events
- Coordinate with cross functional teams (Cashiering, Account Operations, and Transfers)
- Support reconciliation, breaks resolution, and exception management across trading and asset servicing activities
- Assist in managing vendor and clearing firm interactions, ensuring alignment on trade processing, servicing, and issue resolution
- Support regulatory and reporting activities, including daily execution and monitoring of CAT reporting and exception management/reconciliation, Rule 606 reporting requirements, and operational data integrity
- Contribute to the development and refinement of operational workflows, controls, and procedures
- Leverage Salesforce, middle-layer platforms, and AI-enabled workflows to improve efficiency, transparency, and turnaround times
- Maintain strong documentation, audit trails, and readiness for regulatory exams and internal reviews
Benefits
- retirement savings plan (401K) with company match
- insurance coverage including basic life, medical, dental, vision, long-term disability, and other optional additional coverages
- paid-time off including vacation, sick leave, short term disability, and family care responsibilities
- access to our Employee Assistance Program
- incentive compensation including eligibility for annual performance-based awards
- eligibility for certain tax advantaged savings plans
- inclusive development opportunities
- flexible work-life support
- paid volunteer days
- vibrant employee networks
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
