Make Next Happen Now. For more than 30 years, Silicon Valley Bank (SVB) has helped innovative companies and their investors move bold ideas forward, fast. SVB provides targeted financial services and expertise through its offices in innovation centers across the world. With commercial, international and private banking services, SVB helps address the unique needs of innovators.
SVB Wealth Advisory is the wealth management division of Silicon Valley Bank Private Bank offering high net worth client's financial planning services, investment management and investment brokerage products and services. SVB Private Bank brings a complete suite of banking and investment management services to each client engagement.
SVB Wealth Advisory is a dually registered firm with the SEC and FINRA. The firm is expanding its' operations division with the requirement of a Sr. Investment Operations Principal for the Salt Lake City or New York City office. Responsibilities will include:
Manages and coordinates the daily operational activities for investment operations, which includes oversight of the client service team, new account team, trading team and investment reporting team;
Ensures quality service and effective operations support for all brokerage and RIA customers;
Accomplishes results through the oversight of staff and serving the needs for Investment Management Professionals and Compliance staff:
Administers corporate policies and procedures and ensures compliance with applicable laws and regulations for advisory and brokerage business;
Participates in the review and recommendation of operational systems and procedures affecting the department, coordinating system oversite for audits and testing's;
Participates in project implementation and technology initiatives impacting operational activities of the department.
Bachelor's degree, or equivalent work experience
Five to eight years of investment operations-related experience
Three or more years of supervisory/management experience
Foundational knowledge of operation functions, systems, policies and procedures for the Investment Advisory and Broker-Dealer business;
Understanding and practical application of applicable laws and regulations;
Organizational, managerial and project management skills;
Excellent personal, verbal and written communication skills
Ability to manage multiple tasks/projects and deadlines simultaneously
Strong knowledge of brokerage operations
FINRA Series 7, 24 and 99 licenses required, FINRA Series 57 required within first 3 months
Internal Number: 6725835
About Silicon Valley Bank
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