President and Head of Distribution Services

• 15 or more years of experience in broker-dealer operations, fund distribution, asset management, or a closely related area, including direct experience with FINRA-registered entities.
• Direct experience with the statutory underwriter or distributor function for registered investment companies, including ETFs or mutual funds, or experience leading a comparable distribution or compliance service provider; experience managing FINRA membership applications or examinations is required.
• Hold the requisite licenses, including SIE + Series 7 + Series 24 + Series 63; orSIE + Series 6 + Series 26 + Series 63
• Demonstrated success building, launching, or scaling a regulated financial-services entity or function, with supervisory and principal registrations held or readily obtainable.
• Track record leading complex, multi-stakeholder transitions involving contractual notice periods, fund board or governance approvals, and client communications.
• Experience owning a business vertical P&L and making pricing, investment, staffing, and vendor decisions tied to business performance.
• Strong working knowledge of broker-dealer controls, net capital requirements, compliance governance, and books and records obligations.
• Ability to explain regulatory, financial, and operational complexity clearly to fund boards, executives, clients, and cross-functional partners.
• Prior experience with a white-label ETF platform, ETF servicing provider, fund administrator, or similar organization.
• Experience managing compliance functions, including Chief Compliance Officer or Financial and Operations Principal relationships, and compliance technology vendors.
• Experience bringing a previously outsourced regulated service or operating function in-house.
• Additional supervisory and principal securities licensing history, such as Series 27 or 28, or equivalent registrations.

Originally posted on Himalayas