**Key Responsibilities:** + Lead and manage a team of trainers, quality assurance analysts, and documentation specialists. + Oversee the design, delivery, and evaluation of training programs to support onboarding, role-specific development, and ongoing education. + Collaborate with department leaders to assess training needs and align learning strategies with business goals. + Stay current on industry trends, adult learning principles, and instructional design best practices. + Support change management initiatives through targeted training and communication efforts. + Develop and maintain quality assurance policies, procedures, and performance standards. + Conduct audits and assessments to identify risks, inefficiencies, and opportunities for improvement. + Provide coaching and guidance to staff on quality standards and financial control procedures. + Analyze performance data to identify trends and drive strategic improvements. + Ensure timely and accurate reporting of audit findings, control gaps, and remediation efforts. + Present quality and performance insights to senior leadership. + Establish and maintain documentation standards, templates, and procedures to ensure consistency and compliance. + Monitor regulatory changes and ensure documentation practices align with industry requirements. + Contribute to annual and long-term planning, including forecasting performance, resource needs, and business cases for key initiatives. + Provide ongoing coaching and development to team members to enhance their skills and performance. + Collaborate with business units to identify pain points and recommend tech-based solutions. + Champion the adoption of digital tools and platforms across departments. + Stay current with emerging technologies and industry trends relevant to operational efficiency. + Build business cases for technology investments and present findings to senior leadership. **Qualifications & Skills:** + Strong understanding of internal controls, risk management, and regulatory compliance in a brokerage or financial services environment. + Proven ability to manage multiple priorities and projects in a fast-paced setting. + Exceptional communication, presentation, and facilitation skills. + Demonstrated ability to provide guidance and training using clear, effective verbal and written communication. + Ability to interpret and apply laws, regulations, and policies independently while providing technical guidance to others. + Skilled in negotiation and consensus-building across teams with differing priorities. + Experience in leading cross-functional teams and driving continuous improvement. **Licenses/Certifications:** + **SIE required** or **ability to obtain within 120 days** (as required by FINRA), provided that an exemption or grandfathering cannot be applied. + **Series 99 required,** or **ability to obtain within 120 days** (as required by FINRA). Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination.