Senior Director of BD/RIA Operations (REMOTE)

Position Summary: We are seeking a Senior Director of Client/RIA Operations to lead centralized supervision for both Broker-Dealer and RIA activities. This role will be responsible for ensuring compliance with Client and SEC regulations, managing supervisory processes, and building operational frameworks to support rapid growth. The ideal candidate is an experienced leader who thrives in a fast-paced, startup environment, balances regulatory discipline with business growth, and acts as a trusted partner to regulators, clients, and internal teams.

Responsibilities: Lead centralized supervision activities across Client/RIA operations. Maintain and enhance WSPs, SOPs, and operational processes. Review/approve account openings, option trading, and best execution reports. Monitor CAT/CAIS reporting, account trading risks, and fraud indicators. Oversee AML/BSA program activities including SAR filings. Manage supervisory technology tools (Actimize, SMARTS, Waldo).Act as SME on Client rules and coordinate regulatory change management. Build/mentor a team of supervisors and analysts. Serve as primary liaison for regulators, clients, and internal product/tech teams.

Requirements: 10+ years in Broker Dealer/RIA compliance operations (clearing preferred).Active Client licenses: Series 7 & 24 required, plus 4 or 9/10.Deep AML/BSA compliance knowledge, CAT & CAIS reporting expertise. Strong technical skills with GRC, case management, and supervisory tools. Excellent communication, presentation, and leadership skills. Experience in hybrid Client/RIA firms; fintech/startup exposure a plus. Preferred Additional Client licenses: Series 27, 28, 66.JD or Master's in Financial Regulation. Supervisory experience in banking, payments, or fintech platforms.