Regulatory Operations Jobs in Delaware (NOW HIRING)

Overview:

Banking Services is seeking an experienced operational leader to oversee a critical function that supports our Institutional Services business within Wilmington Trust. This role leads multiple teams responsible for bond servicing operations, transfer agency activities, and the execution of complex, high-value financial transactions for institutional clients. As Director, Institutional Operations & Transfer Agency Services, you will be responsible for ensuring the accurate, timely, and compliant processing of transactions involving millions, and at times billions, of dollars. You will provide strategic and operational leadership across several specialized teams supporting bondholder recordkeeping, principal and interest payments, security transfers, high-risk wire processing, reconciliations, control reporting, and workflow administration. This is a highly visible leadership role that combines operational excellence, regulatory oversight, risk management, talent leadership, and continuous process improvement. The successful candidate will serve as a key partner to executive leadership, compliance, audit, and regulatory agencies while driving operational efficiency and maintaining a strong control environment.

Primary Responsibilities:

• Provide strategic leadership for multiple operational teams supporting Wilmington Trust's Institutional Services business and Registered Transfer Agent functions.

• Oversee the timely and accurate execution of bond servicing activities, including bondholder recordkeeping, principal and interest payments, security transfers, account maintenance, reconciliations, and related operational processes.

• Lead teams responsible for high-risk and high-value financial transactions, ensuring adherence to regulatory requirements, internal controls, and service level commitments.

• Foster a culture of operational excellence, accountability, and continuous improvement while developing and coaching both managers and individual contributors.

• Serve as a primary contact during regulatory examinations, internal audits, and external audits, effectively communicating business processes, controls, operational risks, and remediation efforts.

• Ensure compliance with SEC Registered Transfer Agent requirements, SEC Rule 17Ad regulations, and other applicable regulatory and audit standards.

• Monitor operational performance through metrics, reporting, and business intelligence tools, identifying trends, risks, and opportunities for process optimization.

• Partner with executive leadership to address operational challenges, recommend solutions, and implement strategic initiatives that improve efficiency, scalability, and risk management.

• Lead cross-functional initiatives, system enhancements, and process improvement efforts that strengthen the control environment and enhance client service delivery.

• Manage departmental budgets, resource planning, business continuity efforts, and operational risk programs.

• Oversee the resolution of complex operational issues, exceptions, and escalations while maintaining a client-focused approach.

• Build and maintain strong partnerships with business leaders, compliance, risk management, technology teams, auditors, regulators, and external service providers.

What Success Looks Like:

The successful leader will thrive in a fast-paced, highly regulated environment where precision, responsiveness, and sound judgment are critical. You will be comfortable balancing strategic leadership with hands-on operational involvement, helping teams navigate complex challenges while ensuring high levels of client service, regulatory compliance, and operational effectiveness. You will be a trusted advisor to senior leadership, capable of identifying risks, solving complex operational problems, driving change, and influencing decisions that strengthen the organization.

Ideal Candidate Profile:

We're seeking a leader who brings a combination of institutional operations expertise, risk management experience, and strong people leadership skills.

• Strategic and operational leadership

• Risk management and regulatory acumen

• Process improvement and continuous improvement mindset

• Executive presence and communication skills

• Complex problem-solving and critical thinking

• Change leadership and influence

• Talent development and team engagement

• Strong stakeholder management skills

• Ability to perform effectively under pressure while managing competing priorities

Education and Experience Required:

• Bachelor's degree or equivalent combination of education and experience

• 9+ years of relevant experience (financial services, operations, or institutional services experience)

• 3+ years of leadership experience (ideally managing managers and/or large operational teams)

Education and Experience Preferred:

• Advanced degree (MBA or Master's degree)

• Significant experience within wealth management, trust, capital markets, or institutional services environments

• Leadership experience within institutional operations, trust operations, transfer agency, securities operations, custody, wealth management, capital markets, or related financial services environments

• Direct experience with Registered Transfer Agent operations

• Strong understanding of bond servicing, securities processing, money movement activities, and wire transfer operations

• Experience supporting or overseeing relationships with organizations such as DTCC (Depository Trust and Clearing Company) and other financial market infrastructure providers

• Experience leading through regulatory examinations, audits, and compliance reviews

• Proven success managing operational risk, controls, reconciliations, and exception management processes

• Experience driving process improvements, operational efficiencies, and large-scale change initiatives

• Demonstrated ability to use reporting, analytics, and business intelligence tools to improve decision-making and operational performance

• Familiarity with systems such as TranStar, GPP, ACS, SEI or similar transaction processing and operations platforms is highly desirable

Work Location & Work Model:

• Eligible candidates must live within reasonable commuting distance to 1100 North Market Street, Wilmington, DE 19801

• This is a hybrid role requiring four days per week in the office