Employment Type: Full-time
Department: Operations
Reports to: Chief Operating Officer / Chief Compliance Officer
About the Role
We are seeking a proactive and detail-oriented Vice President of Custody Operations to lead and scale our custody function. This critical role will oversee the safekeeping, movement, and reconciliation of client assets across traditional and derivative financial products.
Key Responsibilities
- Design, implement, and manage custody operations across multiple asset classes, ensuring the safe and accurate handling of client funds and securities.
- Maintain compliance with the SEC Custody Rule (206(4)-2) and applicable FINRA and state regulations.
- Oversee daily reconciliation, trade settlement, cash movement, and asset verification processes.
- Establish and manage relationships with qualified custodians, clearing brokers, fund administrators, and vendors.
- Build out custody support for derivatives workflows (e.g., margining, collateral, settlements).
- Develop and enforce internal operational policies, controls, and documentation standards.
- Prepare for and manage custody-related audits, examinations, and surprise verifications.
- Identify and implement automation opportunities to increase efficiency and reduce risk.
- Collaborate with Compliance, Legal, Finance, and Technology teams to support strategic and regulatory initiatives.
Qualifications
- 3–5 years of experience in custody operations, fund administration, or back-office operations within financial services.
- Understanding of custody structures, regulatory obligations, and operational risk controls.
- Familiarity with derivatives trade lifecycles, including collateral and settlement workflows.
- Track record of working with custodians, administrators, and/or prime brokers.
- Strong analytical, problem-solving, and project management skills.
- Comfort operating in a fast-paced, high-growth environment.
Job Type: Full-time
Application Question(s):
- Are you licensed as a broker in US?
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