Operations Principal

Reports To

Director of Operations

Location

Indy, IN
San Antonio, TX
Miami, FL
Omaha, NE
Portland, OR

Type

Full-Time, On-Site with Hybrid Schedule

Compensation Package

• $100,000-$125,000 Base Salary
• 10% Annual Bonus Eligibility
• Competitive Benefits Package
• Unlimited PTO

Position Summary

Sanctuary Wealth is a leading partnered independence platform for elite financial advisors and wealth management firms. The Operations Principal provides supervisory and compliance oversight to support the firm’s risk management framework across both brokerage and advisory business lines.

Responsibilities

• 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 in providing operational support to the firm
• Provide “five star” support, training, and education as needed to operational support staff as well as related brokerage and advisory representatives
• Coverage of NIGO paperwork and requested clearing/custodial support for advisors and support staff
• Promote an atmosphere of trust and support while providing solutions and ideas for process and procedure improvements
• Other operations department duties as assigned

Qualifications

• 3-5 years of experience working in financial operations
• 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 business partner firms on escalated issues and concerns is critical

Education

Undergraduate degree in Business, Finance or a related discipline or equivalent experience

Licenses

• Series 7, 66 (or 63 and 65), 24, 4 (or 9 and 10)
• 53, and Life and Health Insurance (a plus)

Benefits & Perks

• Health & Wellness:
• Medical, dental, and vision insurance options
• Health Savings Account (HSA) programs
• Employer-paid life and disability insurance
• Wellness initiatives and preventative care support
• Financial Benefits:
• Competitive base compensation and 10% performance-based annual bonus opportunity
• 401(k) retirement plan with company match
• Employee referral bonus program
• Time Off & Flexibility:
• Unlimited paid time off (PTO) package
• Paid company holidays
• Paid parental leave
• Hybrid work schedule
• Professional Development:
• Ongoing learning and development opportunities
• Professional certification and continuing education support
• Career growth and internal mobility opportunities
• Access to mentorship and leadership development programs
• Additional Perks:
• Company-sponsored employee engagement activities
• Technology and equipment support for applicable roles
• Inclusive and collaborative workplace culture
• Volunteer and community engagement opportunities