Senior Operations Principle

Remote
Full Time
Experienced

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.
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