San Blas Securities

Compensation

Full Description

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.