Job Description

Position Overview

San Blas Securities is seeking a Senior Operations Principal with active FINRA Series 7 and Series 24 licenses to serve as a senior operational resource for the firm and its financial advisors.

This role is responsible for resolving complex trade and operational issues, supporting advisors with day-to-day operational needs, and exercising principal-level judgment on operational and supervisory matters. The role is operations-first , not a traditional compliance officer position.

Key Responsibilities

Advisor Support & Principal Oversight

• 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
• Support branch offices and registered representatives with operational best practices

Trade & Account Operations

• Oversee and resolve complex trade issues including corrections, allocations, cancels/rebills, and settlement discrepancies
• Coordinate directly with clearing firms, custodians, and trading desks
• Support account openings, ACATs, asset transfers, money movement, and account maintenance
• Review operational exception reports and ensure timely resolution

Operational Risk & Problem Solving

• Identify, assess, and mitigate operational risks impacting advisors or clients
• Determine when escalation to Compliance, Supervision, or Senior Management is required
• Partner with Compliance and Finance to ensure issues are resolved accurately and efficiently
• Identify recurring issues and drive operational process improvements

Process, Controls & Documentation

• Maintain clear documentation of advisor requests, resolutions, and supervisory decisions
• Assist in developing and refining operational workflows, controls, and procedures
• Support operational projects related to firm growth, advisor onboarding, and platform expansion

Qualifications & Experience

Required

• 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
• Strong written and verbal communication skills

Preferred

• Experience working with clearing firms or custodians (Schwab, RBC)
• Experience in a growing or entrepreneurial broker-dealer environment
• Familiarity with commission systems and payout processes
• Experience supporting branch offices and remote advisors

Compensation & Benefits

• Base Salary: $90,000 – $105,000 , commensurate with experience

  (Target range: $90,000 – $105,000; upper end reserved for highly experienced principals)

• Discretionary annual bonus based on performance and service quality
• Health, dental, and vision insurance
• Paid time off and holidays
• Licensing and professional development support

Work Arrangement

This role is hybrid , with an initial expectation of regular in-office presence at our Chicago office during onboarding. Increased remote flexibility may be available for strong performers.

What Success Looks Like

• Advisors receive timely, accurate, and compliant operational support
• Complex trade and operational issues are resolved efficiently with minimal escalation
• Operational risk is reduced as the firm scales
• Advisors view operations as a trusted, senior partner

Why Join San Blas Securities

• Principal-level role with real decision-making authority
• High-impact position influencing advisor experience and firm growth
• Direct access to senior leadership
• Entrepreneurial environment with opportunity to shape operations

Optional Clarifier (Recommended)

This is an operations-focused principal role and is not a traditional compliance officer position .

This is a Remote (work from home) position.

Job Tags

Similar Jobs