VP, Brokerage & Advisory Operations

Penn Mutual

VP of Operations overseeing broker-dealer and RIA back-office functions in a financial services company. Leading operational transformation and team development for optimal performance.

Posted 5/31/2026full-timeRemote • 🇺🇸 United StatesLeadWebsite

About the role

Key responsibilities & impact

Own and accountable for all broker-dealer and RIA back-office operations: account onboarding, maintenance, new account review, trading support, cashiering, disbursements, ACATs/transfers, suitability, and field advisor support
Establish and enforce operational standards, SLAs, KPIs, and an operating cadence including capacity planning, escalation paths, and issue management
Build a professional, metrics-driven environment where performance expectations are clear and consistently managed
Oversee supervisory functions for new account review in partnership with the Compliance team, ensuring FINRA, SEC, and MSRB obligations are met
Provide regulatory and control oversight, ensuring compliance with FINRA, SEC, and MSRB; maintain strong procedures and readiness; lead exams and remediation efforts
Collaborate with vendors (e.g., Pershing, DTCC, etc.) to improve platforms, integrations, data quality, and operational resiliency
Conduct a rapid, comprehensive talent assessment of the inherited organization — evaluate who is in the right role and identify gaps
Develop, coach, and hold accountable a team of approximately 40 FTE and multiple direct-report people leaders
Build succession depth; foster a culture of accountability, continuous improvement, and client-first execution
Identify and close significant procedural and control gaps that currently exist in the organization
Design and implement scalable, repeatable processes appropriate for a regulated broker-dealer environment
Establish a quality framework and drive consistency across all operational functions
Lead regulatory exam readiness and remediation in coordination with Compliance and Risk
Lead the implementation of Docupace as the new account workflow, records (books and records), and straight-through processing tool
Own a multi-year transformation roadmap focused on automation, workflow digitization, and operational risk reduction
Collaborate with Technology and vendor partners (e.g., Pershing, DTCC, investment platforms) to improve integrations, data quality, and system performance
Leverage data and analytics to drive decision-making and surface operational risk proactively
Serve as a key member of the Operations Leadership Team; engage directly with the Head of Operations, CHRO, Compliance, Risk, and Technology
Translate complex operational issues into clear executive-level insights and recommendations
Build effective partnerships with advisors and field leadership to improve the advisor and client experience

Requirements

What you’ll need

12–15+ years of experience in financial services
Deep expertise in broker-dealer operations and regulatory frameworks (FINRA, SEC, MSRB)
Proven success leading operational transformation and technology modernization.
Strong executive presence with ability to influence senior stakeholders
Strategic, data-driven decision maker with strong risk awareness
Excellent communication skills with ability to translate complex issues into clear insights
Demonstrated ability to build and lead high-performing teams
A bachelor’s degree is required. An MBA is highly desirable but not required. FINA registrations: Series 65 and 24 required; Series 27 preferred.

Benefits

Comp & perks

Health insurance
401(k) matching
Flexible work hours
Paid time off
Professional development opportunities

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

broker-dealer operationsaccount onboardingtrading supportregulatory complianceoperational transformationdata analyticsprocess designrisk managementperformance metricscapacity planning

Soft Skills

executive presenceinfluencing stakeholdersstrategic decision makingcommunication skillsteam leadershipaccountabilitycontinuous improvementclient-first executionproblem-solvingcollaboration

Certifications

Series 65Series 24Series 27MBAbachelor's degree