Head of Wealth Management Operations and Oversight

Description"We all have a responsibility to pursue a society where everyone is respected and has the opportunity to reach their potential." – Bruce Van Saun, Chairman and CEO Are you a champion of diversity, equity, and inclusion? Are you an experienced and talented leader in Wealth Management leading Operations and Oversight? If you're someone who has a growth mentality and is passionate about inspiring change, apply for this role! This position is located in Johnston, RI or the ability to travel 50%. Together, we will continue to advance the company's dedication of creating a workplace known for its inclusive culture by bringing colleagues into the organization who better represent the communities where we live and work. The Head of Wealth Management Operations and Oversight is responsible for leading all aspects of Wealth Management operations including new accounts/ direct business, account maintenance processing, call center service, trading, principal review (Series 24), cashiering, quality control, and all other operations infrastructure support. Also responsible for creating and executing the strategic plan and budget for the Wealth Management Ops function. Must be fluent in regulatory guidelines including ensuring all work performed meets regulatory and bank requirements. Lead and influence work to identify, implement, and provide end-user system support, integration, workflows and operational responsibilities. Work closely with IT, security and disaster recovery/business continuity as a collaborative partner. Responsible for managing a large team of 70+ colleagues, including VPs, Managers, Team leads and Specialists. Work with senior management to align service strategy with sales initiatives. Identify and coordinate company initiatives to increase efficiencies and reduce processing errors. Assist sales management in problem resolution and workflow prioritization. Oversight: As a member of the COO Senior Management Team, collaborate with sales leaders in all segments (Affluent/HNW/UHNW) and senior leadership to identify ongoing needs, including regulatory supervision changes and industry trends in the Wealth Management arena. Supervise FINRA licensed operational colleagues, Broker Dealer operational workflow and use of technology. Has substantial input into the strategic vision of the COO function including service delivery efficiencies and contributes to the development and implementation of organizational strategies, policies and practices. Implements structure and process orientation that ensures delivery of the sales/service vision by automating, centralizing, and streamlining processes and procedures. Oversight of support services pertaining to the operational environment for external clients, Partners, FAs and sales leadership. Key activities: Utilizes continuous improvement methodologies to achieve operational excellence.

Ensures continuous and efficient workflow through the definition, standardization, and maintenance of all key operational processes.

Ensures data consistency and steady, uniform usage of our systems.

Ensures process solutions are met for new and existing business.

Identifies and develops new processes as the business needs dictate including, but not limited regulatory changes and the market environment.

Monitor the variance of all processes and identify training or process improvements necessary to maintain standardization.

Ensure employees are following the rules and regulations of regulatory agencies and that company policies and procedures are being followed.

QualificationsRequirements:7-10 years Product management experience

12+ years demonstrated leadership and vision in leading managers of managers

Strong written and verbal communication skills. Experience and comfort in speaking to small and large audiences at all levels across an organization.

Understanding of the regulatory environment (SEC, FINRA…)

Strategic thinker and ability to d rive mindset change to our competitive advantage

Education & License Requirements:

Bachelor’s degree or relevant work experience

Relevant state insurance license(s)

FINRA Series 7,63,65,24,4, 99 or able to obtain within 90 days of employment.

#LI-Sourcer6#LI-RemoteSome job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will discuss accurate pay guidance.Why Work for UsAt Citizens, you'll find a customer-centric culture built around helping our customers and giving back to our local communities. When you join our team, you are part of a supportive and collaborative workforce, with access to training and tools to accelerate your potential and maximize your career growth.Equal Employment OpportunityCitizens, its parent, subsidiaries, and related companies provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to age, ancestry, color, citizenship, physical or mental disability or perceived disability, ethnicity, gender, gender identity or expression, genetic information, genetic characteristic, marital or domestic partner status, victim of domestic violence, family status/parenthood, medical condition, military or veteran status, national origin, pregnancy/childbirth/lactation, colleague’s or a dependent’s reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state and/or local laws.Equal Employment and Opportunity Employer/Disabled/VeteranCitizens is a brand name of Citizens Bank, N.A. and each of its respective affiliates.