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.
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
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
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
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
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
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
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
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.
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
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
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