Team Lead, Operations and Supervision

Mariner Wealth Advisors • Overland Park, KS

8d

About The Position

As a Team Lead, Operations and Supervision you’ll play a critical part in supporting Mariner’s broker-dealer operational and supervisory functions, helping ensure a strong, efficient, and compliant platform. You’ll serve as a trusted resource and mentor to a small team, providing guidance on day-to-day broker-dealer operations and partnering closely with vendors, product sponsors, carriers, and clearing firms to drive seamless execution. Reporting to the Director of Compliance, you’ll help strengthen our supervisory framework while living Mariner’s values of caring for clients and associates, delivering excellence, and fostering a culture of belonging within MSEC, LLC—Mariner’s affiliated broker-dealer.
We welcome your interest in being a part of our firm. We believe in giving associates progressive opportunities, actively nurturing professional growth and giving back to the community. We are dedicated to building a diverse culture where everyone has the support they need to achieve their career goals. We offer an innovative workplace and a culture that fosters camaraderie, teamwork and work-life balance.
EOE M/F/D/V
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Mariner is a privately held national financial services firm equipped with the experience to meet your modern wealth needs. Our advisors have access to in-house expertise covering everything from tax, estate, trust, and insurance to investment banking and valuation, so they can maximize time spent creating unified wealth plans with clients. By opening more windows of wealth, we can create opportunities to positively impact the lives of many. With this purpose, we intend to raise the bar for the entire industry. Founded in 2006 with $300 million in assets under advisement, Mariner and its affiliates now advise on over $560 billion in assets as of 1/3/25. Figures include assets from Cardinal Investment Advisors, currently undergoing acquisition by Mariner Institutional and slated to operationally close by 3/31/2025. Learn more at www.mariner.com. Mariner is committed to, and maintains, a drug-free workplace. For further information, click here.
Our culture of belonging is our most valuable asset and what makes growth and innovation possible. Your unique abilities are a vital part of what makes us Mariner and we are committed to accelerating your access to excellence.

Requirements

• 3+ years of brokerage operations experience within the securities industry
• FINRA Series SIE, 7, 24, or 9/10

Nice To Haves

• Experience with trade reporting systems, such as TRACE, RTRS, and CAT/CAIS a plus, but not required

Responsibilities

• 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.

What This Job Offers

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