Wealth Management Operations-Policy & Quality Assurance-Transformation-Salt Lake City-Vice President

ABOUT WEALTH MANAGEMENT OPERATIONS

Wealth Management Operations supports the Wealth Management business by delivering strong operational risk management, high-quality execution, and regulatory confidence across the client lifecycle. The team partners closely with the business, FCC Compliance, and other stakeholders to ensure operational excellence and regulatory alignment.

THE ROLE

The Policy & Quality Assurance Vice President has responsibility for leading the U.S.-based Policy & Quality Assurance (PQA) function for Wealth Management Operations, with accountability for the quality, consistency, and credibility of quality assurance outcomes. The role provides oversight of client due diligence quality across Wealth Management and is accountable for quality assurance testing, workflow oversight, thematic risk identification, and policy implementation. This includes partnering closely with Financial Crime Compliance (FCC) and Operations leadership to strengthen operational risk management and regulatory confidence. The Vice President is expected to balance hands-on judgment on complex or sensitive matters with strong people leadership, prioritization, and risk ownership, ensuring that QA insights meaningfully inform senior decision-making. The role also has accountability to identify opportunities to evolve and modernize QA and policy-related workflows, including the responsible use of data, automation, or AI-enabled approaches, where they enhance efficiency, scalability, or risk coverage while maintaining strong governance and regulatory alignment.

KEY RESPONSIBILITIES

• Provide oversight of Policy & Quality Assurance testing across diverse client types and account structures, ensuring consistent and accurate application of FCC-owned Know Your Client (KYC), Client Identification Program (CIP), and Customer Due Diligence (CDD) frameworks.

• Maintain ownership and oversight of QA sampling, workflow prioritization, and execution to ensure timely delivery against established service level agreements.

• Analyze QA outcomes to identify trends, themes, and potential systemic risks, distinguishing between isolated defects and broader process, system, or framework issues.

• Provide clear, senior-level insights through QA metrics and management reporting to support transparency, escalation, and informed decision-making.

• Serve as a primary point of engagement between Wealth Management Operations and Financial Crime Compliance, providing credible challenge and supporting effective policy interpretation and implementation.

• Oversee policy clarification and change management activities, including consolidation of questions from functional teams and communication of updates.

• Assess operational implications of new or updated policy requirements and ensure expectations are implemented consistently across Wealth Management.

• Own the articulation and escalation of thematic risks and control gaps, including framing root causes, business impact, and recommended actions for senior Operations and FCC leadership.

• Lead, coach, and develop team members while setting clear expectations for quality, judgment, and professionalism.

• Set direction and operating standards for the team, including quality thresholds, decision frameworks, and escalation discipline, and actively develop bench strength and succession.

• Drive continuous improvement of QA methodologies, controls, and operating practices to enhance efficiency, scalability, and quality outcomes.

• Partner with Operations, FCC, and data or technology stakeholders to evaluate and advance process improvements, including automation or AI-enabled solutions, applying strong judgment to ensure explainability, appropriate controls, and adherence to firm standards.

SKILLS & EXPERIENCE

• Extensive experience in KYC, CIP, CDD, Quality Assurance, or related operational risk functions within financial services.

• Strong understanding of regulatory frameworks and the client due diligence lifecycle.

• Communication ability to translate detailed QA findings into clear themes and senior-level insights.

• Proven judgment in assessing risk, escalating issues, and engaging senior stakeholders.

• Strong analytical, organizational, and communication skills.

• Experience contributing to or leading operational transformation initiatives, including use of data, automation, or AI-enabled approaches to improve quality, risk management, or efficiency within a controlled environment.

• Significant relevant experience demonstrating sound judgment, leadership, and accountability in complex regulatory or operational environments.

• Professional certifications (e.g., CAMS) preferred.