Global Banking Markets Operations - RIA Custody Broker Ops - Salt Lake City-Vice President
About The Position
RIA Custody Broker Operations is seeking a highly motivated individual with strong teamwork, organizational, technical, communication, and risk management skills, a strong interest in financial markets and products, and the ability to work effectively in a challenging, fast-paced environment. The role partners with the business and federation to facilitate business growth, with a key focus on risk and controls around RIA-initiated investment products. RIA Custody provides registered investment advisors with a platform for diversified investing and portfolio management with significant customization. The operations team develops processes and controls that support business activity and protect the firm’s assets and reputation. The position develops a comprehensive understanding of the trade lifecycle and process flows for RIA-initiated investment products, including equities, fixed income, mutual funds, and retirement products. It works with brokerage, execution, and servicing teams to deliver client service while mitigating exposure risks, and identifies process and control improvements using evolving tools to build scalability without introducing new risks.
Requirements
- Bachelor’s degree.
- 5–7+ years of professional experience.
- Proven analytical skills, problem-solving ability, a control mentality, and meticulous attention to detail.
- Ability to build relationships and communicate complex issues to internal clients with differing levels of product experience.
- Self-motivated, proactive team player who takes ownership and accountability.
- Strong organizational skills and ability to manage competing priorities effectively.
- Flexible and able to work well under pressure in a team environment.
- Strong teamwork, technical, communication, and risk management skills, and an interest in financial markets and products.
Nice To Haves
- Prior experience in banking, custody and clearing, or a similar environment.
- Familiarity with billing, portfolio management, and/or clearing operations.
- Operational knowledge of the custody and clearing business model, supported products, process flows, and vendors.
Responsibilities
- Develop a comprehensive understanding of the trade lifecycle and process flows for RIA-initiated investment products, including equities, fixed income, mutual funds, and retirement products.
- Partner with brokerage, execution, and servicing teams to deliver high-quality client service while mitigating exposure risks.
- Manage several tasks at once with attention to detail.
- Identify process and control improvements by leveraging evolving tools to build scalability without introducing new risks.
- Partner with the business and federation to facilitate business growth, focusing on risk and controls around RIA-initiated investment products.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
