Senior Operations Principal
San Blas Securities
full-time
Posted on:
Location Type: Hybrid
Location: Chicago • Illinois • 🇺🇸 United States
Visit company websiteSalary
💰 $90,000 - $105,000 per year
Job Level
Senior
About the role
- Serve as a senior point of contact for advisor operational inquiries and escalations
- Provide guidance to advisors consistent with firm policy, supervisory standards, and regulatory requirements
- Exercise Series 24–level judgment when reviewing and resolving operational issues
- Oversee and resolve complex trade issues including corrections, allocations, cancels/rebills, and settlement discrepancies
- Support account openings, ACATs, asset transfers, money movement, and account maintenance
- Identify, assess, and mitigate operational risks impacting advisors or clients
- Partner with Compliance and Finance to ensure issues are resolved accurately and efficiently
- Maintain clear documentation of advisor requests, resolutions, and supervisory decisions
Requirements
- Active FINRA Series 7 and Series 24 licenses
- 7–10+ years of experience in financial services operations
- 5+ years in broker-dealer operations supporting financial advisors
- Demonstrated experience exercising principal-level judgment in an operational context
- Strong understanding of securities trading, settlement, and supervisory considerations
Benefits
- Discretionary annual bonus based on performance and service quality
- Health, dental, and vision insurance
- Paid time off and holidays
- Licensing and professional development support
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
operational risk assessmenttrade issue resolutionaccount maintenanceasset transfersmoney movementsecurities tradingsettlement discrepanciessupervisory standardsregulatory requirementsprincipal-level judgment
Soft skills
guidancecommunicationproblem-solvingcollaborationdocumentation
Certifications
FINRA Series 7FINRA Series 24