- Strategy and Leadership:
- Provide strategic direction and advice related to Envestnet's broker-dealer within the broader Envestnet ecosystem.
- Provide visionary leadership for the limited-purpose broker dealer within Envestnet, setting strategic goals and objectives and monitoring success.
- Develop and implement effective strategies to enhance the overall performance and profitability.
- Regulatory Compliance:
- Ensure strict adherence to all relevant broker dealer regulations, particularly those set forth by FINRA.
- Stay abreast of changes in regulatory requirements and update internal policies and procedures accordingly.
- Operational Oversight:
- Manage day-to-day operations of the broker dealer to minimize risk and regulatory exposure.
- Implement best practices to optimize operational efficiency and mitigate risks.
- Relationship Management:
- Cultivate and maintain strong relationships with internal and external stakeholders, including regulatory bodies, clients, and partner organizations.
- Collaborate with key stakeholders to address concerns and explore opportunities for business growth.
- Financial Performance:
- Drive revenue generation through strategic initiatives and effective management of broker dealer activities.
- Monitor financial performance and implement measures to achieve and exceed financial targets.
- Team Management:
- Lead and mentor a team of professionals, fostering a collaborative and high-performance culture and compliance of sales activities.
- Provide guidance and support to team members to enhance their skills and professional development.
- Adherence to and application of Envestnet legal, compliance, risk, business continuity and administrative policy within the role and department(s) including the timely completion of training & awareness, affirmations and testing as requested.
- As part of the responsibilities for this role, you will understand and readily support Envestnet's established corporate business practices, policies, internal controls and procedures designed to create value or minimize risk.
- Bachelor's degree in finance, business, or a related field; advanced degree preferred.
- At least 12 years within a broker dealer environment.
- FINRA Series 7, 24 and 63 licenses required.
- In-depth knowledge of broker dealer regulations, especially those related to operations.
- Strong analytical, strategic planning, and problem-solving skills.
- Excellent communication and interpersonal skills.
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Envestnet Securities Partnerships Head - Berwyn, United States - Envestnet | Yodlee
Description
Envestnet is seeking a passionate and talented Envestnet Securities Partnerships Head to join our limited purpose broker dealer delivering strategic partnerships and revenue opportunities with custodians and asset managers. In this leadership role, you will be responsible for overseeing and managing all aspects of our internal broker dealer operations, ensuring compliance with regulatory requirements, and driving the achievement of strategic business goals.
Job Responsibilities:
Required Qualifications:
