VP, Wealth Risk & Operations

First National Bank

3d•$200,000 - $250,000•Onsite

About The Position

We are seeking an experienced Vice President, Wealth Risk and Operations to lead first-line risk management, compliance oversight, and operational excellence for our Wealth Division. The ideal candidate will bring proven experience in Wealth risk and compliance, deep knowledge of the regulatory landscape, operational best practices and a transformative leadership style. This role encompasses three integrated oversight responsibilities: 1. First-Line Risk Management - Independent risk oversight, assessment, and monitoring across all wealth activities 2. Compliance Leadership - Comprehensive regulatory program management, policy implementation and examination collaboration 3. Operations Leadership - Direct management of operational teams delivering client support and transaction processing You will balance robust first-line risk management and compliance oversight with operational leadership in a highly regulated environment. This position requires a risk-focused leader with deep wealth management regulatory expertise who can simultaneously drive operational excellence through director-level teams while ensuring adherence to SEC, FINRA, OCC, and state trust regulations. The successful candidate will integrate risk management, compliance oversight, and operational execution by designing frameworks that enhance both regulatory adherence and operational efficiency. With decision-making authority, you will have accountability for risk acceptance, compliance matters, operational transformation, and resource allocation with financial implications for the division. This role maintains a unique enterprise perspective, regularly representing Wealth in bank-level governance forums while also being embedded in day-to-day divisional operations. Through daily collaboration with Wealth leadership and cross-functional partners, you'll develop the insights needed to anticipate emerging risks, identify process improvement opportunities, and drive strategic change initiatives. Beyond technical expertise, this role requires exceptional leadership capabilities to build and develop high-performing teams during a period of significant transformation. You will foster a culture that balances operational discipline with innovation, ensuring we meet our fiduciary obligations while delivering exceptional client experiences. For a strategic leader with wealth management risk expertise and operational transformation experience, this role offers the rare opportunity to shape the future of our Wealth division while gaining significant executive visibility across the enterprise. The position reports directly to the SVP of Banking Risk, Operations and Data and has exposure to Banking leadership.

Requirements

Bachelor’s degree required; advanced degree (MBA/JD) or industry certifications (e.g., CFA, CCO, CAMS, CFIRS, CRCP, CTFA, IAACP) strongly preferred.
Series 7, 24 strongly preferred (or an ability to obtain).
10+ years of experience in financial services with progressive leadership in risk, compliance and operations roles across wealth management (prefer experience with OCC, SEC, FINRA, trust, RIA, broker-dealer, capital markets).
Proven experience leading transformations and integrating siloed operations
Proven track record of developing and implementing successful operational strategies that drive efficiency and enhance client service.
Deep knowledge of SEC Investment Advisers Act, FINRA conduct rules, OCC trust regulations, and state fiduciary requirements.
Track record of designing and executing successful operational strategies in complex or underperforming environments.
Exceptional analytical, communication, and leadership skills; ability to influence across all levels of the organization.
Skilled in operational risk identification, internal controls, scenario analysis, and root cause remediation.
Excellent and demonstrable communication, written, and presentation skills are required.
Excellent analytical and problem-solving abilities, with a focus on data-driven decision-making.
Understand and comply with bank policy, laws, and FINRA / SEC regulations, and the bank's BSA/AML Program, as applicable to your job duties.