SMD, Head Business Enablement And President/ceo, TC Services

Head Bus Enablement and President/CEO, TC Services

The Head Bus Enablement and President/CEO, TC Services job leads the strategic efforts to comply with governmental and other regulatory mandates and ongoing supervision and oversight for the organization's Broker-Dealer. This job identifies and adopts best practices with regard to organizational governance. This job leads multiple teams of directors or senior managers and establishes and implements strategies that have short to mid-term (1-3 years) impact on business results in alignment with parent/independent organization objectives. This job interacts with executive leadership and others concerning matters of significance to the organization, and makes decisions that have a considerable impact on the overall success or failure of the Broker-Dealer department. Key responsibilities and duties include partnering across the enterprise and being responsible for collaborating and maintaining a comprehensive strategic supervisory, oversight and risk management structure to ensure controls are in place and appropriate testing of those controls across 1st and 2nd lines of business risk defense. Provides an early warning system apprised of regulatory, supervisory, compliance and risk management developments that impact the business encompassed within the Broker-Dealer, conducting risk ranking assessments and identifying where decisions may be needed. Owns engagement with external regulators on matters impacting the wealth management business and the Broker-Dealer, to include but not limited to exams, regulatory rule changes and proactive interaction on business model changes. Oversees the development of Wealth associate scorecards, ensuring alignment to corporate strategy and objectives; develop and evolve performance dashboards for client-facing teams and educate frontline associates on performance processes and tools. Leads large transformational projects and programs impacting a broad spectrum of functional specialties such as distribution channels, operations, client segmentation, financial management, policy development, organizational development, quality management and/or performance metrics, resource and talent management. Ensures the key wealth management business and the Broker-Dealer risk areas for the organization are identified, evaluated and quantified for their potential impact. Reports to Senior Executive Management and Board of Directors on issues and updates regarding wealth management business and the Broker-Dealer risk analytics, reporting and governance. Manages performance of team members through regular, timely feedback as well as the formal performance review process and fosters team member engagement, motivation and development. Provide change management and readiness support across Wealth organization. Develop, evolve, and maintain infrastructure and practices to support readiness; oversee maintenance of SOPs and playbooks. Oversees the design, maintenance and continuous improvement of critical business processes and technology that support the Wealth business. Partner with Wealth leaders to identify interdependencies and ensure the staffing risks are proactively monitored and mitigated. In partnership with wealth distribution, oversees client assignment, reassignment, and departed client-facing personnel process across all Wealth roles.

Educational requirements include a University (Degree) preferred. Work experience required is 10+ years. FINRA Registrations include SRC Indicator: Series 7; Series 24. Physical requirements are sedentary work. Career level is 13PL. Base pay range is $275,000/yr - $325,000/yr. Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).

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