Executive Vice President of Operations

Position Summary

The EVP of Operations is a key member of the executive leadership team, responsible for overseeing and optimizing the firm’s operational infrastructure to support its $20B AUM platform. This role ensures scalable, compliant, and efficient operations across all business units, with a focus on delivering seamless advisor and client experience. The EVP will lead strategic initiatives, manage cross-functional teams, and drive innovation through technology and process improvement.

Key Responsibilities

Strategic Leadership

• Serve as a strategic partner to the COO in shaping the firm’s operational roadmap.
• Lead the development and execution of operational strategies aligned with the firm’s growth objectives, including M&A integration and platform scalability.
• Champion a culture of continuous improvement, innovation, and operational excellence by working closely with HQ operations team and the field operations team.

Operational Oversight

• Direct all day-to-day operations across departments and branches including client service, trading, billing, compliance support, and advisor onboarding.
• Oversee the implementation and optimization of core systems such as One Vest, Salesforce, Orion, and custodial platforms (Fidelity, Schwab, LPL).
• Ensure operational workflows are efficient, compliant, and aligned with best-in-class industry standards.
• Lead M&A due diligence in Operations
• Design, document, and enforce standard operating procedures across client service, onboarding, billing, and integration.
• Work with advisors to ensure operational processes meet their needs

Technology & Process Optimization

• Partner with the CTO and technology teams to evaluate, implement, and support enterprise systems that enhance operational efficiency.
• Leverage automation and AI tools to streamline processes and reduce manual intervention.
• Drive data governance and integrity across platforms to support business intelligence and decision-making.
• Continually assess operational processes, develop KPIs related to efficiency, accuracy, service delivery.

Team Leadership & Development

• Lead and mentor a high-performing operations team, including regional directors and operational teams across Merit enterprise
• Foster a collaborative environment that promotes accountability, innovation, and professional growth.
• Oversee hiring, training, and performance management for operational staff.

Compliance & Risk Management

• Collaborate with the Chief Compliance Officer to ensure operational adherence to regulatory requirements.
• Oversee principal approval processes for advisory paperwork and discretionary agreements.
• Implement controls to mitigate operational risk and ensure audit readiness.

Qualifications

• Bachelor’s degree in finance, Business, Economics, or related field
• FINRA Series 7 & 66/65 required.FINRA Series 24 preferred.
• Minimum 10 years of senior leadership experience in operations within a high-growth RIA or hybrid firm over $10B
• Proven success in scaling operations, leading M&A integrations, and managing complex technology ecosystems.
• Deep familiarity with custodians (Fidelity, Schwab), Orion, and Salesforce.
• Exceptional leadership, communication, and strategic thinking skills.
• Strong analytical and problem-solving capabilities with a bias for action.