Job Description
The Head of Operations, Personal Investing is a senior executive responsible for the overall operational strategy, execution, and risk management of the firm’s broker‑dealer and RIA businesses. This role oversees day‑to‑day operations, ensures regulatory compliance, drives process efficiency, and partners with executive leadership to support sustainable growth, strong client service, and a robust control environment. The Head of Operations, Personal Investing will be a key member of the leadership team, working closely with functional leaders and business line leaders to align operations with the firm’s strategic objectives.
Position Responsibilities
Operational Leadership
Provide strategic and hands‑on leadership of all operational functions supporting the broker‑dealer and RIA, including:
- Trade operations and processing
- Client onboarding and account maintenance
- Custody and clearing relatio...