Head of Intermediary Operations
About the Company
Top-tier financial firm
Industry Financial Services
Type Privately Held
About the Role
The Company is in need of a Head of Intermediary Operations to spearhead the strategic development and execution of intermediary relationship management. This senior leadership role is pivotal in ensuring that the company's interactions with financial intermediaries, including broker-dealers, RIAs, banks, and other institutions, are in line with regulatory and commercial objectives. The successful candidate will be responsible for defining and implementing the intermediary servicing strategy, aligning service models with industry regulations, and leading initiatives to enhance the intermediary experience. Key responsibilities also include serving as the primary contact for major intermediary relationships, managing the onboarding, servicing, and retention of intermediary partners, and overseeing a team that ensures operational efficiency and compliance.
Applicants for the Head of Intermediary Operations position at the company should possess a strong background in transfer agent operations and intermediary services. The role requires a leader with the ability to influence stakeholders at all levels, demonstrate confident communication skills, and provide after-hours support to intermediaries when necessary. Operational oversight is a critical aspect of the role, involving the management of a team that oversees transfer agent intermediary operations, and close collaboration with various internal teams to ensure compliance with regulatory standards. The ideal candidate will have experience in managing intermediary oversight programs, including SEC Rule 22c-2 monitoring, and be adept at coordinating large trade notifications, settlement-day cash flow reporting, and managing intermediary contracts to ensure adherence to service models and regulatory requirements.
Travel Percent Less than 10%
Functions
Operations
About the Company
Top-tier financial firm
Industry Financial Services
Type Privately Held
About the Role
The Company is in need of a Head of Intermediary Operations to spearhead the strategic development and execution of intermediary relationship management. This senior leadership role is pivotal in ensuring that the company's interactions with financial intermediaries, including broker-dealers, RIAs, banks, and other institutions, are in line with regulatory and commercial objectives. The successful candidate will be responsible for defining and implementing the intermediary servicing strategy, aligning service models with industry regulations, and leading initiatives to enhance the intermediary experience. Key responsibilities also include serving as the primary contact for major intermediary relationships, managing the onboarding, servicing, and retention of intermediary partners, and overseeing a team that ensures operational efficiency and compliance.
Applicants for the Head of Intermediary Operations position at the company should possess a strong background in transfer agent operations and intermediary services. The role requires a leader with the ability to influence stakeholders at all levels, demonstrate confident communication skills, and provide after-hours support to intermediaries when necessary. Operational oversight is a critical aspect of the role, involving the management of a team that oversees transfer agent intermediary operations, and close collaboration with various internal teams to ensure compliance with regulatory standards. The ideal candidate will have experience in managing intermediary oversight programs, including SEC Rule 22c-2 monitoring, and be adept at coordinating large trade notifications, settlement-day cash flow reporting, and managing intermediary contracts to ensure adherence to service models and regulatory requirements.
Travel Percent Less than 10%
Functions
Operations