Director, Client Reporting Operations
The Emerald Recruiting Group, New York, NY, United States
About the Opportunity
A leading
global wealth management firm
is seeking a
Director of Client Reporting Operations
to oversee daily operations and strategic initiatives across
regulatory client reporting functions. This position plays a critical leadership role ensuring accurate, compliant, and timely client communications across millions of transactions each month. You’ll manage a large-scale, high-volume operation that sits at the intersection of
regulatory control, process excellence, and client experience —while partnering with technology, compliance, and operations leadership to modernize the platform and implement best-in-class standards. What You’ll Do
Provide senior oversight of all
client reporting operations , including
tax documents, statements, trade confirmations, and prospectus delivery.
Own all
Written Supervisory Procedures (WSPs) , controls, and audit readiness to ensure full compliance with FINRA, SEC, and IRS requirements.
Drive a culture of
continuous improvement and automation , leveraging data and technology to reduce risk and enhance service delivery.
Lead and mentor a team of operations professionals, ensuring effective staffing, development, and performance management.
Build trusted partnerships with
technology, risk, compliance, and vendor management teams
to deliver seamless operational execution.
Ensure delivery of all departmental
SLAs, KPIs, and control thresholds , while maintaining a sharp focus on client satisfaction and risk mitigation.
Manage
financial accountability
across cost centers, general ledger accounts, and operational budget allocations.
Represent Client Reporting Operations in
governance meetings, audits, and regulatory reviews.
Lead or participate in
strategic transformation projects
focused on improving reporting infrastructure and scalability.
What You Bring
10+ years of experience
in wealth management or brokerage operations, with a focus on
client communications or regulatory reporting.
Proven leadership experience managing large operations teams and high-volume data environments.
Strong understanding of
FINRA/SEC regulations , operational risk frameworks, and internal control standards.
Demonstrated success managing
outsourced vendors or third-party service providers.
Exceptional communication and partnership skills—able to collaborate effectively with senior executives and cross-functional stakeholders.
FINRA
Series 99 and SIE
required; additional licenses a plus.
Familiarity with
secure data transmission protocols (SFTP)
and digital reporting platforms.
Analytical mindset with a track record of implementing process and control enhancements.
Why It’s Worth a Conversation
Lead a
mission-critical control function
with broad impact across client experience and regulatory compliance.
Directly influence modernization initiatives around
digital reporting, automation, and operational efficiency.
High visibility to executive leadership and opportunity to
shape the next generation of reporting infrastructure.
Competitive base compensation, discretionary bonus, and full benefits package.
Join a firm known for
collaboration, innovation, and long-term career growth.
#J-18808-Ljbffr
A leading
global wealth management firm
is seeking a
Director of Client Reporting Operations
to oversee daily operations and strategic initiatives across
regulatory client reporting functions. This position plays a critical leadership role ensuring accurate, compliant, and timely client communications across millions of transactions each month. You’ll manage a large-scale, high-volume operation that sits at the intersection of
regulatory control, process excellence, and client experience —while partnering with technology, compliance, and operations leadership to modernize the platform and implement best-in-class standards. What You’ll Do
Provide senior oversight of all
client reporting operations , including
tax documents, statements, trade confirmations, and prospectus delivery.
Own all
Written Supervisory Procedures (WSPs) , controls, and audit readiness to ensure full compliance with FINRA, SEC, and IRS requirements.
Drive a culture of
continuous improvement and automation , leveraging data and technology to reduce risk and enhance service delivery.
Lead and mentor a team of operations professionals, ensuring effective staffing, development, and performance management.
Build trusted partnerships with
technology, risk, compliance, and vendor management teams
to deliver seamless operational execution.
Ensure delivery of all departmental
SLAs, KPIs, and control thresholds , while maintaining a sharp focus on client satisfaction and risk mitigation.
Manage
financial accountability
across cost centers, general ledger accounts, and operational budget allocations.
Represent Client Reporting Operations in
governance meetings, audits, and regulatory reviews.
Lead or participate in
strategic transformation projects
focused on improving reporting infrastructure and scalability.
What You Bring
10+ years of experience
in wealth management or brokerage operations, with a focus on
client communications or regulatory reporting.
Proven leadership experience managing large operations teams and high-volume data environments.
Strong understanding of
FINRA/SEC regulations , operational risk frameworks, and internal control standards.
Demonstrated success managing
outsourced vendors or third-party service providers.
Exceptional communication and partnership skills—able to collaborate effectively with senior executives and cross-functional stakeholders.
FINRA
Series 99 and SIE
required; additional licenses a plus.
Familiarity with
secure data transmission protocols (SFTP)
and digital reporting platforms.
Analytical mindset with a track record of implementing process and control enhancements.
Why It’s Worth a Conversation
Lead a
mission-critical control function
with broad impact across client experience and regulatory compliance.
Directly influence modernization initiatives around
digital reporting, automation, and operational efficiency.
High visibility to executive leadership and opportunity to
shape the next generation of reporting infrastructure.
Competitive base compensation, discretionary bonus, and full benefits package.
Join a firm known for
collaboration, innovation, and long-term career growth.
#J-18808-Ljbffr