Executive Searches
Vice President, Brokerage & Advisory Operations
Mutual Life & Annuity Insurance Company
We are no longer accepting applications for this role.
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Our client is a Mutual Life and Annuity Insurance company with a wealth management business supporting financial professionals and their clients. |
Situation Analysis
Our client undertook a transformation to elevate service to financial professionals and their clients amid growing regulatory complexity and a changing industry landscape. Leadership recognized the need for a seasoned executive to guide this effort and consolidated oversight of brokerage and advisory operations under a single leader to strengthen operational performance and support continued growth.
Key Responsibilities
The Vice President, Brokerage and Advisory Operations leads core broker-dealer and RIA back-office functions, including account onboarding, trading support and compliance oversight, and sets operational standards within a metrics-driven environment. This executive works closely with compliance to meet regulatory obligations and manages vendor partnerships that improve platform capabilities. The role also includes a multi-year technology roadmap focused on automation and risk reduction, as well as developing the team and building a culture of accountability.
Successful Placement
Our placement is a financial services executive with more than two decades of experience across brokerage operations, regulatory oversight and advisor platform support. Most recently, they led teams spanning brokerage processing, regulatory services, advisor experience and analytics within a large financial services organization, while directing an enterprise-wide optimization strategy across multiple business functions. Earlier, they managed regulatory oversight for brokerage and insurance businesses, including FINRA, SEC and state examinations, and built risk assessment, control and monitoring frameworks.
