VP, Asset Management Operations

NFP•New York, NY

1d•Onsite

About The Position

The Vice President, Asset Management Operations is responsible for supporting the evaluation and continuous improvement of operational processes across asset management functions. This role focuses on analyzing key performance indicators (KPIs), identifying trends and areas for improvement, and partnering with leadership to enhance service delivery, efficiency, and consistency. The role plays a key part in supporting initiative prioritization, improving process execution, and ensuring operational alignment with business and regulatory requirements. A critical component of this position is leveraging and supporting the firm’s core operational platform, ensuring data integrity and effective utilization across teams.

Requirements

Broker-dealer operations and regulatory frameworks (FINRA, SEC)
Asset management products (managed money, annuities, alternatives, HNW)
Operational systems and workflows
Investment and market fundamentals
Process improvement principles
Strong analytical and KPI interpretation skills
Ability to identify trends and recommend practical improvements
Strong organization and prioritization
Ability to support multiple initiatives
Effective communication and collaboration
Ability to navigate and improve complex systems
Experience supporting training or onboarding efforts
Detail-oriented with strong execution focus
Proactive and solution-oriented
Collaborative and team-focused
Adaptable in a changing environment
Strong accountability and ownership
Commitment to continuous improvement
4-year college degree required
10+ years in financial services or operations experience in process improvement and performance analysis

Nice To Haves

Advanced degree a plus
Series 7, Series 24 a plus

Responsibilities

Evaluate key operational processes to identify inefficiencies and improvement opportunities
Analyze workflows to identify delays, errors, and trends
Recommend enhancements to improve efficiency, quality, and scalability
Partner with leadership to support ongoing process improvements
Facilitate delivery of new products/processes; from process formulation, documentation, training (internal/external), communications, to client delivery
Monitor and report on KPIs across operations
Track 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
Support prioritization of operational initiatives in partnership with leadership
Assist in tracking progress against key milestones
Help coordinate execution and identify risks or delays
Provide updates and insights to support decision-making
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
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
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
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