Vice President, Broker Dealer And Middle Office Operations

Nuveen

Base: $110,000pyr - $145,000pyr; bonus/equity: pyr...
Not specified
5+ years broker-dealer operations experience
Direct retail sma industry experience
Municipal bonds and preferred stock knowledge
The Vice President of Broker Dealer and Middle Office Operations at Nuveen will lead a team responsible for clearing, settlement, and operational management of fixed income securities within Separately Managed Accounts (SMA). The role requires extensive broker-dealer experience and involves regulatory liaison responsibilities, team leadership, and operational oversight. ###

Job Summary

  • This leadership role oversees a highly regulated entity serving as the primary operational liaison to regulators, external auditors, and industry counterparties.
  • The position requires deep broker-dealer experience to navigate complex operational challenges involving clearing, settlement, and trade allocation for over $90 billion in assets.
  • Candidates will be responsible for building and mentoring a skilled team capable of critical thinking while ensuring comprehensive cross-training and succession planning.

Matching Summary

Match Score: 85

The Vice President of Broker Dealer and Middle Office Operations at Nuveen will lead a team responsible for clearing, settlement, and operational management of fixed income securities within Separately Managed Accounts (SMA). The role requires extensive broker-dealer experience and involves regulatory liaison responsibilities, team leadership, and operational oversight. ###

Salary

Base: $110,000/yr - $145,000/yr; Bonus/Equity: Participation in incentive program linked to performance possible; Benefits: Comprehensive Total Rewards package including retirement and health offerings

Skills & Requirements

Must-have

  • 5+ years broker-dealer operations experience
  • Direct retail SMA industry experience
  • Municipal bonds and preferred stock knowledge
  • DTCC platforms CTM and RTTM expertise
  • Regulatory audit documentation management
  • Trade error resolution and short position handling

Nice-to-have

  • Experience with Wirehouses and IBDs
  • Success leading teams through high-volume periods
  • History of zero-defect regulatory audit results
  • Established relationships with major custodians
  • Ability to mentor and develop successor talent

Key Requirements

  • University Degree Required
  • 5+ Years Relevant Experience Required
  • Series 52, 53, and 99 Licenses Preferred
  • US Work Authorization Not Specified

Work Rights

Not specified

Tailored Resume

Cover Letter