Senior Vice President, Head of Brokerage Tax Operations, Service and Strategy

Job Description:

The Role

The Senior Vice President, Head of Brokerage Tax Operations, Service and Strategy, role sets the end-to-end Brokerage Tax Operations and Service business and technical strategic vision for 100+ tax operations professionals and leads a team that delivers the accurate and timely execution of millions of brokerage and retirement related tax reporting obligations, ensuring compliance with US and global regulations.

This job plays a critical role in shaping the firm's tax posture by making high-impact decisions that directly affect regulatory compliance, operational efficiency, and client trust. They have broad autonomy to design and implement tax reporting strategies, lead technology transformation initiatives, and respond to complex regulatory changes, though alignment with executive leadership and legal counsel is essential for high-risk or enterprise-wide decisions. While strategic direction is often guided by firm-wide objectives and evolving regulatory landscapes, this role exercises significant discretion in interpreting those directions and operationalizing them across systems, teams, and processes.

• Oversee Tax reporting and compliance: Deliver all tax related brokerage and retirement multi-faceted complex tax reporting, withholding, cost basis and performance reporting functions.
• Develop and Execute Tax Strategy: Apply a deep understand of IRS tax regulations to the on-going brokerage tax processes and technology to formulate and implement long-term tax operational strategies that align with regulator developments, technology advancements and business goals.
• Lead Cross-functional tax and brokerage initiatives across multiple retail and institutional offerings. Collaborate with Legal, Compliance, Technology, Product and finance teams to support new product launches, regulatory changes and process enhancements impacting tax reporting.
• Manage Risk and Governance: Establish strong internal controls, monitor tax-related risks, drive audit readiness, while representing the firm in regulatory audits and industry forums. Manage multi-million $ vendor relationships and contracts that tightly align with organization vendor management strategy.
• Optimize tax reporting processes, drive electronic delivery, limit re-characterizations and corrections, mitigate risk and align operations with evolving regulatory standards.
• Lead with passion, intellectual curiosity and a high degree of integrity to maintain a highly interactive and engaging work environment.
• Assume a leadership role in the establishment of scalable standards, and best practices.
• Manage risk levels in a highly regulated and complex technical environment.
• Identify and utilize external industry trends to influence critical complex decisions.
• Build and cultivate a meaningful relationship with all key stakeholders.

• 15+ years understanding of brokerage, financial services and tax operations.
• Passion to drive compliance excellence and innovative people/process/technology solutions in a dynamic financial environment
• Committed to fostering cross-functional collaboration and strategic planning to support firm-wide goals and client service excellence.
• Strong knowledge of 1099, 5490 and 990-T reporting required, in addition to product knowledge including Alternative Investment, Mutual Funds, Options and Corporate Actions.
• Prior people manager experience required. Ability to coach managers for professional development and career vitality.
• Strong leadership skills
  • The ability to coach both managers and subject matter experts.
  • Ability to communicate complex processes in a simplified manner to senior levels.
  • Ability to make risk-based decisions in adherence of a strict regulatory environment.
• Working knowledge of cost basis regulations and tax information reporting.
• Series 7 & 24 required.