Senior Operations Principle

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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