Mariner

Team Lead, Operations, Supervision

Mariner

full-time

Posted on:

Location Type: Hybrid

Location: Overland Park • Kansas • United States

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Job Level

Senior

About the role

  • Lead and coordinate broker-dealer operations and supervision support to ensure accurate, timely processing and high-quality service to clients and registered representatives.
  • Serve as the primary point of contact for MSEC operations, partnering closely with Compliance, Licensing, vendors, product sponsors, carriers, and clearing firms.
  • Oversee day-to-day account onboarding and maintenance, including data entry and reconciliation, NIGO resolution, and coordination with registered representatives prior to supervisory review.
  • Support supervisory and compliance activities, including AML/CIP, OFAC, FinCEN 314(a), SEC Rule 17a-3 books and records, check supervision, and regulatory inquiries or examinations.
  • Develop, maintain, and enhance operational procedures, controls, metrics, and documentation to ensure accuracy, consistency, and regulatory compliance.
  • Train, coach, and mentor the Broker-Dealer Operations & Supervision Support team while modeling and reinforcing Mariner’s values.
  • Assist with onboarding and transitions of registered representatives, including system access, licensing coordination, and ongoing consultative support.
  • Drive innovation and continuous improvement through the evaluation and implementation of technology, automation, workflow enhancements, and AI-enabled solutions.
  • Support special projects and operational initiatives, including system evaluations, mail and medallion processing, and other business-critical activities as needed.

Requirements

  • 3+ years of brokerage operations experience within the securities industry
  • FINRA Series SIE, 7, 24, or 9/10
  • Experience with trade reporting systems, such as TRACE, RTRS, and CAT/CAIS a plus, but not required
Benefits
  • We believe in giving associates progressive opportunities
  • Actively nurturing professional growth
  • Giving back to the community
  • Dedicated to building a diverse culture
  • Support they need to achieve their career goals
  • Innovative workplace and a culture that fosters camaraderie, teamwork and work-life balance
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
broker-dealer operationsdata entryreconciliationNIGO resolutionoperational proceduresregulatory compliancetrade reporting systemsAML/CIPOFACSEC Rule 17a-3
Soft Skills
leadershipcoachingmentoringcommunicationcollaborationproblem-solvinginnovationcontinuous improvementtrainingconsultative support
Certifications
FINRA Series SIEFINRA Series 7FINRA Series 24FINRA Series 9FINRA Series 10