President and Head of Distribution Services
Core
Lead the launch and growth of a newly established ETF distribution and statutory underwriting business, owning the organization from regulatory approval through operational launch and long-term scale.
Role type
President and Head of Distribution Services (Executive)
Builds
Regulated financial-services entity (broker-dealer) for ETF distribution and statutory underwriting
Domain
Financial Services / Asset Management / ETFs
Required skills
FINRA regulatory launch and membership management, statutory underwriting and distribution operations, broker-dealer governance and controls, P&L ownership and pricing strategy, team building and leadership, multi-stakeholder transition management, compliance technology oversight, financial forecasting and reporting
Preferred skills
ETF platform experience, fund administrator relationships, in-house transition of outsourced regulated services, additional supervisory securities licenses (Series 27/28)
Technologies
compliance technology platforms, FINRA examination systems
Responsibilities
Lead regulatory launch of new broker-dealer including FINRA New Membership Application; Establish governance, controls, reporting, and decision-making structures; Oversee transition of statutory ETF distribution from external provider; Own business-unit P&L including revenue, cost management, and net capital compliance; Build and execute staffing strategy for registered leadership; Manage key outsourced partners and relationships; Analyze submission volume and service data to anticipate capacity requirements
Seniority
Executive, hands-on leader
