Role OverviewThe Operations Principal provides supervisory and compliance oversight to support the firm’s risk management framework across both brokerage and advisory business lines. This role is responsible for reviewing and approving new and ongoing business activities in accordance with firm policies, Written Supervisory Procedures (WSPs), and applicable FINRA, SEC, and state regulatory requirements.
What You Will Do
Complete a thorough review of new business and service-related required paperwork for both brokerage and managed accounts, provide in-depth knowledge of Written Supervisory Procedures as well as FINRA regulatory requirements, and provide "five star" support, training, and education as needed to operational support staff as well as related brokerage and advisory representatives.
Why It Might Be a Fit
The Operations Principal plays a critical role in ensuring all client and advisor activity is processed accurately, appropriately supervised, and aligned with regulatory standards. This individual serves as a key control function within the firm—identifying potential risks, resolving exceptions, and supporting consistent application of supervisory policies across a high-volume, multi-channel advisory platform.
Requirements
- 3-5 years of experience working in financial operations
- Undergraduate degree in Business, Finance or a related discipline or equivalent experience
- Advanced working knowledge of FINRA, SEC and state regulations
- Strong understanding of General Securities, Mutual Funds, Insurance Products, and related investments in both clearing and custodial relationships
- Excellent oral and written communications skills
- Ability to make regulatory and supervisory decisions with little supervision
- Comfortable working in a fast-paced, high-volume environment with a flexible work schedule
- Proactive collaboration and service-based responses with our business partner firms on escalated issues and concerns is critical
Benefits
- Medical, dental, and vision insurance options
- Health Savings Account (HSA) programs
- Employer-paid life and disability insurance
- Wellness initiatives and preventative care support
- Competitive base compensation and 10% performance-based annual bonus opportunity
- 401(k) retirement plan with company match
- Employee referral bonus program
- Unlimited paid time off (PTO) package
- Paid company holidays
- Paid parental leave
- Hybrid work schedule
- Ongoing learning and development opportunities
- Professional certification and continuing education support
- Career growth and internal mobility opportunities
- Access to mentorship and leadership development programs
- Company-sponsored employee engagement activities
- Technology and equipment support for applicable roles
- Inclusive and collaborative workplace culture
- Volunteer and community engagement opportunities
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