Director, Client Reporting Operations

 

About the Opportunity

A leading global wealth management firm is seeking a Director of Client Reporting Operations to oversee daily operations and strategic initiatives across regulatory client reporting functions.

This position plays a critical leadership role ensuring accurate, compliant, and timely client communications across millions of transactions each month. You’ll manage a large-scale, high-volume operation that sits at the intersection of regulatory control, process excellence, and client experience—while partnering with technology, compliance, and operations leadership to modernize the platform and implement best-in-class standards.

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What You’ll Do

• Provide senior oversight of all client reporting operations, including tax documents, statements, trade confirmations, and prospectus delivery.

• Own all Written Supervisory Procedures (WSPs), controls, and audit readiness to ensure full compliance with FINRA, SEC, and IRS requirements.

• Drive a culture of continuous improvement and automation, leveraging data and technology to reduce risk and enhance service delivery.

• Lead and mentor a team of operations professionals, ensuring effective staffing, development, and performance management.

• Build trusted partnerships with technology, risk, compliance, and vendor management teams to deliver seamless operational execution.

• Ensure delivery of all departmental SLAs, KPIs, and control thresholds, while maintaining a sharp focus on client satisfaction and risk mitigation.

• Manage financial accountability across cost centers, general ledger accounts, and operational budget allocations.

• Represent Client Reporting Operations in governance meetings, audits, and regulatory reviews.

• Lead or participate in strategic transformation projects focused on improving reporting infrastructure and scalability.

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What You Bring

• 10+ years of experience in wealth management or brokerage operations, with a focus on client communications or regulatory reporting.

• Proven leadership experience managing large operations teams and high-volume data environments.

• Strong understanding of FINRA/SEC regulations, operational risk frameworks, and internal control standards.

• Demonstrated success managing outsourced vendors or third-party service providers.

• Exceptional communication and partnership skills—able to collaborate effectively with senior executives and cross-functional stakeholders.

• FINRA Series 99 and SIE required; additional licenses a plus.

• Familiarity with secure data transmission protocols (SFTP) and digital reporting platforms.

• Analytical mindset with a track record of implementing process and control enhancements.

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Why It’s Worth a Conversation

• Lead a mission-critical control function with broad impact across client experience and regulatory compliance.

• Directly influence modernization initiatives around digital reporting, automation, and operational efficiency.

• High visibility to executive leadership and opportunity to shape the next generation of reporting infrastructure.

• Competitive base compensation, discretionary bonus, and full benefits package.

• Join a firm known for collaboration, innovation, and long-term career growth.