San Blas Securities
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
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, etc.)
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.
#J-18808-Ljbffr
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
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, etc.)
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.
#J-18808-Ljbffr