Sr. Manager, Operations

About This Role

The Operations Manager is responsible for the day-to-day management and execution of Northland's operational activities across capital markets brokerage, advisory, and investment banking platforms. This role ensures accuracy, efficiency, and compliance in client and trade processing, while driving continuous improvement and fostering collaboration between front-office and back-office teams. The Operations Manager plays a central role in maintaining the firm's operational integrity, supporting financial representatives/advisors and clients, and implementing process enhancements in alignment with the firm's strategic goals.

Operational Leadership

• Oversee daily processing and service delivery across Front-Office Operations and Back-Office Operations, ensuring timely and accurate execution.
• Supervise and develop a team of operations professionals responsible for account onboarding, transfers, trade processing, reconciliation, and service requests.
• Partner with executive leadership on product strategy, advisor technology, and compensation design.
• Monitor operational workflow, manage workload distribution, and resolve escalations efficiently.
• Establish and track service-level agreements (SLAs) and key performance indicators (KPIs) to measure quality and timeliness.

Process and System Management

• Partner with the Director of Custody Oversight and Risk, Head of Operations and IT to identify, test, and implement automation, technology enhancements, and system integrations.
• Ensure procedures are current, standardized, and documented across the department.
• Identify opportunities to streamline manual processes and reduce rework or exceptions.
• Coordinate with Pershing and internal technology teams on operational system enhancements or issue resolution.

Risk and Compliance

• Maintain adherence to firm policies, FINRA/SEC regulations, and Pershing operational standards.
• Collaborate with the Director of Custody Oversight and Risk, Compliance, and Finance on issue management, audits, and reconciliations.
• Manage operational exception reporting and ensure timely resolution.

Cross-Department Collaboration

• Act as the primary liaison between Sales, Sales Assistants, and Operations teams to ensure seamless client service and accurate processing.
• Coordinate with Finance and Compliance to ensure data integrity and timely reporting.
• Provide operational insights and recommendations to leadership for process or structural improvements.

People Development

• Mentor and coach operations team members to build cross-functional expertise and accountability.
• Promote a culture of collaboration, transparency, and continuous learning.
• Identify and develop future leaders within the department.

Key Skills

• In-depth operational broker-dealer and investment advisory knowledge.
• Strong working knowledge of FINRA, SEC, and AML/BSA regulations.
• Strong leadership and team management skills.
• Proven track record of driving process efficiency and risk reduction.
• Analytical mindset with the ability to assess risks and make informed decisions.
• Strong organizational and multitasking abilities.
• Excellent communication and interpersonal skills.
• High attention to detail and accuracy.

Required Qualifications

• Experience: 5+ years of experience within the financial services industry, preferably in wealth management and fixed income.
• Licensing: Active FINRA Series 7, 24, 66, and 6.
• Education: Bachelor's degree in finance, business, economics, or relevant work experience.
• Candidates must possess unrestricted work authorization and not require future sponsorship.

Work Environment

It is anticipated that the incumbent in this role will work onsite at the posted location. Our onsite environment fosters innovation, mentorship, and a vibrant culture where ideas flow freely and relationships flourish. As part of our team, you'll experience the energy of our collaborative spaces designed to support your professional growth while working alongside talented colleagues who inspire excellence daily. Please note that work location is subject to change based on business needs.

Benefits

• Medical, Dental, Vision Insurance
• 401k with Matching Contributions
• Time Off Programs
• Health Savings Account (HSA)/Dependent Care
• Employee Banking
• Growth Opportunities
• Tuition Assistance
• Short-Term/Long-Term Disability Insurance

Registration Requirement

This position requires Financial Industry Regulatory Authority (FINRA) registration. Qualification requirements include meeting applicable financial industry responsibility, regulatory requirements, credit fitness and criminal background standards. Successful candidates must meet ongoing regulatory requirements including acceptable background investigation, credit report and fingerprinting results.

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