Vice President, Operations - IWMS Client Experience

Job Description:

The Team

Fidelity operates one of the largest clearing and custody businesses in the industry with nearly $4 Trillion in assets under administration serving thousands of intermediary clients including RIAs, broker dealers, banks, and family offices.

We are seeking a detail-oriented and client-focused professional to join our Operations team, which plays a critical role in supporting core brokerage processing for our clearing and custody clients—including Registered Investment Advisers (RIAs), broker-dealers, banks, and family offices. This team is at the heart of our service delivery, ensuring that every transaction, reconciliation, and operational workflow is executed with precision and efficiency.

Our mission is to deliver a frictionless adviser experience, empowering our clients to focus on growing their businesses and serving their end investors. We achieve this by combining deep operational expertise with a relentless commitment to service excellence, innovation, and continuous improvement.

The Role

In this role, you will contribute to the seamless execution of day-to-day brokerage operations, including our most specialized and complex. You will also be the entry point for our operations leaders by leading the operations onboarding and team leads. You will collaborate closely with internal stakeholders to resolve issues proactively, identify opportunities for process improvement, and uphold the highest standards of operational integrity.

The Expertise and Skills You Bring

• A Bachelor's degree, or a Master’s degree or Masters in Business Administration is preferred.
• Strong understanding of brokerage operations, quality and risk management practices, clearing and custody processes, and regulatory requirements impacting RIAs, broker-dealers, banks, and family offices.
• Proven ability to manage and execute complex operational workflows with a high degree of accuracy and attention to detail.
• Experience handling sensitive and specialized processes and creating a strong control framework.
• Excellent analytical and problem-solving skills, particularly in evaluating complex transactions and exception scenarios.
• Demonstrated success in developing and delivering training programs with a strong understanding of good operational processes
• Effective leadership and mentoring capabilities, with experience managing new hires and guiding team leads or SMEs.
• Strong communication and interpersonal skills, with the ability to collaborate across teams and engage with both internal and external stakeholders.
• The ability to bring or acquire a Series 7 & 24 licenses.

The Value You Deliver

• Execute and oversee specialized and complex operational processes, such as Transfers of Account (TOA) receives, debit card support, abandoned property handling, privacy violation investigations, and elder financial exploitation reviews.
• Perform in-depth analysis of complex transactions and manage sensitive processes such as date-of-death valuations with accuracy and discretion.
• Develop, maintain, and continuously enhance training curriculum and documentation for all One Ops processes across Family Office (FOS), Custody, and Middle Office functions.
• Lead team who will manage and mentor new hires across the operations group during their introductory period, with full decision-making authority on readiness for transition into the broader team.
• Lead and support a team of subject matter experts (SMEs) responsible for handling special requests, processing highly complex operational items, and facilitating bulk uploads with precision and efficiency.
• Foster a culture of operational excellence and continuous improvement, ensuring all processes align with our commitment to delivering a frictionless adviser experience.

Note: Fidelity is not providing immigration sponsorship for this position

Certifications:

Series 07 - FINRA, Series 24 - FINRA

Category:

Brokerage Operations

Fidelity’s hybrid working model blends the best of both onsite and offsite work experiences. Working onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most hybrid roles require associates to work onsite every other week (all business days, M-F) in a Fidelity office.

Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.