Senior Operations Principle

San Blas Securities • Chicago, IL

2d • $90,000 - $105,000 • Hybrid

About The Position

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.

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
• Strong written and verbal communication skills

Nice To Haves

• 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

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

Benefits

• Health, dental, and vision insurance
• Paid time off and holidays
• Licensing and professional development support

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed