Executive Searches
Vice President, Brokerage & Advisory Operations
Mutual Life & Annuity Insurance Company
POSITION SUMMARY
The Vice President, Brokerage & Advisory Operations will report to the Chief Operating Officer and lead all core broker-dealer and registered investment advisor back-office operations across a complex wealth management platform. This executive will oversee account onboarding, trading support, cashiering, suitability review and advisor support functions, while driving operational transformation through modernization of processes, controls and technology infrastructure. The role carries significant enterprise impact through enhancement of regulatory readiness, implementation of scalable operating frameworks and advancement of a metrics-driven service model that supports advisor growth and client experience.
The ideal candidate brings 12–15+ years of financial services operations leadership experience, with deep expertise in broker-dealer operations, regulatory frameworks and operational risk management. This leader combines strong technical knowledge across FINRA, SEC and MSRB environments with a track record of leading transformation initiatives, technology modernization and process optimization. Experience managing regulatory exams, building high-performing teams and influencing cross-functional stakeholders is essential, along with a hands-on leadership style suited to complex, highly regulated wealth management organizations.
Meet The Team
