Equities Operations Control Management - Vice President

Shape how operational risk is identified, measured, and reduced across equities operations. You will bring ideas that modernize controls, strengthen resilience, and make outcomes visible to senior leaders. You will work on high-impact initiatives that blend controls expertise with data and automation. You will grow your influence through cross-functional partnerships and meaningful ownership. We value curiosity, practical problem-solving, and continuous improvement.
 

As a Vice President in Equities Operations Control Management, you lead proactive risk management and control design across equities operations. You partner with key stakeholders to assess risks, improve control coverage, and deliver strategic initiatives that strengthen process integrity and client outcomes. You use data, analytics, and automation to identify trends, prioritize remediation, and measure control performance. You communicate clearly with senior leaders, helping teams make well-informed decisions and follow through on commitments.

Our team owns the operational controls environment across equities operations, focusing on practical, sustainable controls that reduce risk and support efficient execution. You will collaborate closely with middle office, trade support, product, and technology partners to improve processes end to end. We operate with a continuous improvement mindset—testing what works, learning quickly, and scaling repeatable solutions.

Job responsibilities

• Conduct proactive risk and control reviews to identify gaps, diagnose root causes, and prioritize actions
• Design and enhance controls to improve documentation, effectiveness, and sustainability
• Lead end-to-end operating environment reviews to assess metrics, failure modes, ownership, and handoffs
• Challenge processes constructively by articulating risks, impacts, and clear solution options to stakeholders
• Drive process improvements, automation, and strategic initiatives that reduce operational risk and improve efficiency
• Build and use data-driven monitoring to track control performance and surface emerging risks
• Partner with middle office, trade support, product, and technology teams to strengthen front-to-back control design
• Establish change management practices to protect control health during new or modified products and services
• Define and track key risk indicators; escalate breaches and drive remediation through closure
• Prepare concise updates for senior management on control outcomes, key risks, and delivery progress
• Promote a culture of accountability, continuous improvement, and inclusive collaboration across teams

Required qualifications, capabilities, and skills

• Bachelor’s degree
• Minimum 8 years of experience in financial services in operations, controls, audit, quality assurance, operational risk, or compliance
• Working knowledge of equity derivatives (e.g., equity swaps, options, futures) and exchange-traded funds (ETFs), including front-to-back operational processes
• Demonstrated ability to assess end-to-end processes, identify control gaps, and implement practical control enhancements
• Strong problem-solving skills, including the ability to structure ambiguous issues and drive decisions with facts and analysis
• Strong written and verbal communication skills, with the ability to influence stakeholders at multiple levels
• Proven ability to manage multiple priorities, deliver under deadlines, and maintain attention to detail
• Experience defining, tracking, and reporting risk and control metrics, including issue ownership and remediation follow-through

Preferred qualifications, capabilities, and skills

• Project or program management experience delivering multiple initiatives from design through adoption
• Familiarity with artificial intelligence (AI) use cases and governance considerations in operational workflows
• Proficiency with data and analytics tools such as Alteryx, Tableau, Python, Visual Basic for Applications (VBA), and Structured Query Language (SQL)
• Demonstrated ability to identify opportunities for AI and automation integration within operational workflows, including experience evaluating, implementing, or governing AI-driven solutions to achieve scalable process improvements and strategic objectives
• Familiarity with risk and control evaluation frameworks used in financial services operations
• Experience partnering effectively with technology teams to translate control requirements into durable solutions
• Experience presenting control insights and recommendations in clear, executive-ready formats