Operations Principal: Financial Compliance & Oversight (Hybrid)

Sanctuary Wealth; Indianapolis (IN); On-site; USD 100,000 - 125,000; Full time

Benefits offered by this job

Health insurance

401(k) match

Unlimited PTO

Hybrid schedule

Paid holidays

Parental leave

Job summary

Sanctuary Wealth is seeking an Operations Principal to provide supervisory and compliance oversight across brokerage and advisory lines within a high-volume, multi-channel platform. You will review new business, client accounts, and documentation in line with WSPs and FINRA/SEC requirements, ensuring proper supervision and risk controls.

Based in Indianapolis, IN or other listed locations, the role offers a full-time on-site with hybrid schedule, competitive compensation, a 10% annual bonus

Qualifications

• 3–5 years of experience in financial operations.
• Undergraduate degree in Business, Finance or a related discipline.
• Advanced working knowledge of FINRA, SEC and state regulations.
• Strong understanding of General Securities, Mutual Funds, Insurance Products, and related investments.
• 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 with partner firms on escalated issues.

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
• Coordinate with advisors and support staff for the resolution of Not in Good Order “NIGO” paperwork as well as requested clearing or custodial support
• Promote an atmosphere of trust and support while providing solutions and ideas for process and procedure improvements
• Other operations department duties as assigned

Skills

Oral and written communication

Regulatory decision making

Fast-paced environment adaptation

Collaboration with partners

Education

Undergraduate degree in Business, Finance or related discipline

Job description

Sanctuary Wealth is seeking an Operations Principal to provide supervisory and compliance oversight across brokerage and advisory lines within a high-volume, multi-channel platform. You will review new business, client accounts, and documentation in line with WSPs and FINRA/SEC requirements, ensuring proper supervision and risk controls.

Based in Indianapolis, IN or other listed locations, the role offers a full-time on-site with hybrid schedule, competitive compensation, a 10% annual bonus