SVP, Investment Operations

Description

Lido Advisors, LLC, an established and expanding wealth management firm, is looking for a SVP, Investment Operations.

The SVP, Investment Operations provides strategic leadership and oversight of the firm’s day-to-day investment operations. This role is responsible for ensuring seamless trade processing, regulatory compliance, and effective collaboration across functional teams. The ideal candidate has a strong background in investment operations, proven leadership skills, and the ability to drive efficiency and continuous improvement in a fast-paced environment.

Key Responsibilities

• Systems & Technology
• Evaluate and implement technology solutions to enhance automation, reduce errors, and improve overall operational efficiency.
• Collaborate with IT and external vendors to optimize systems integration and data management processes.
• Process Improvements & Risk Management
• Develop and maintain robust operational controls, policies, and procedures that reduce operational and reputational risk.
• Identify and implement process improvements to streamline workflows and enhance efficiency.
• Operational Management
• Oversee the end-to-end trade lifecycle, including order execution, settlement, reconciliation, and corporate actions.
• Ensure timely and accurate processing of all investment transactions, mitigating operational risk and maintaining data integrity.
• Team Leadership
• Manage and mentor a team of operations professionals, setting performance goals and providing regular feedback.
• Recruit, onboard, and develop team members to build a high-performing, collaborative environment.
• Regulatory Compliance & Reporting
• Monitor compliance with relevant industry regulations, internal policies, and best practices.
• Prepare and submit regulatory filings, liaising with compliance teams and external auditors as needed.
• Cross-Functional Collaboration
• Serve as a liaison between Investment management department, back-office (Accounting, IT), and compliance functions.
• Work closely with senior leadership on strategic initiatives, such as new product launches, market expansions, or mergers and acquisitions.
  
  

Requirements

• Bachelor’s degree in Finance, Accounting, Economics, or related field (Master’s degree or MBA preferred).
• 8 years of experience in investment operations, trade settlements, or a similar role within the financial services industry.
• Demonstrated track record of leadership, including management of teams and complex projects.
• Strong understanding of investment products (equities, fixed income, derivatives, etc.) and the trade lifecycle.
• Familiarity with portfolio management systems, custodial platforms, and operational workflows.
• Proficiency in MS Office suite; experience with data management, reporting tools, and portfolio accounting systems is a plus.
• Thorough understanding of relevant financial regulations (e.g., SEC, FINRA) and compliance requirements.
• Excellent communication and interpersonal skills for cross-departmental collaboration.
• Strong analytical, organizational, and problem-solving abilities.
• Ability to manage multiple priorities in a fast-paced environment.
  
  

We are an equal opportunity employer. All applicants will be considered for employment without attention to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran or disability status, or any other class protected by federal, state or local law. In addition, we do not discriminate against qualified applicants with arrest or conviction records.

Salary Description

$150,000 - $200,000