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.