Operations Leader, Brokerage & Advisory

Northland Securities, Inc.; Minneapolis (MN); On-site; USD 90,000 - 140,000; Full time

Benefits offered by this job

Medical Insurance

Dental Insurance

Vision Insurance

401(k) Matching

Time Off Program

HSA

Tuition Assistance

Disability Insurance

Job summary

Northland Securities, Inc. seeks an Operations Manager to oversee day‑to‑day operational activities across capital markets brokerage, advisory, and investment banking platforms.

You will ensure accuracy, efficiency, and compliance in client and trade processing while driving continuous improvement and fostering collaboration between front‑office and back‑office teams. The role supports financial representatives, advisors, and clients, implementing process enhancements aligned with the firm’s

Qualifications

• 5+ years in financial services, wealth management or fixed income
• FINRA registrations: Series 7, 24, 66, and 6
• Bachelor’s degree in finance, business, economics, or related field

Responsibilities

• Oversee daily processing and service delivery across Front‑Office and Back‑Office Operations
• Supervise and develop a team of operations professionals for onboarding, transfers, trade processing, reconciliation, and service requests
• Partner with leadership on product strategy, advisor technology, and compensation design
• Monitor workflows, manage workload, and resolve escalations; establish SLAs and KPIs

Skills

Operational broker-dealer knowledge

FINRA/SEC/AML regulations

Leadership and people management

Process efficiency and risk reduction

Analytical mindset

Organization and multitasking

Communication and interpersonal skills

Attention to detail

Education

Bachelor’s degree in finance or related field

Job description

Northland Securities, Inc. seeks an Operations Manager to oversee day‑to‑day operational activities across capital markets brokerage, advisory, and investment banking platforms.

You will ensure accuracy, efficiency, and compliance in client and trade processing while driving continuous improvement and fostering collaboration between front‑office and back‑office teams. The role supports financial representatives, advisors, and clients, implementing process enhancements aligned with the firm’s