Senior Financial Operations Principal

Sanctuary Wealth Group LLC; Indianapolis (IN); Hybrid; USD 100,000 - 125,000; Full time

Benefits offered by this job

Health insurance

401(k) matching

Unlimited PTO

Hybrid schedule

Job summary

Sanctuary Wealth Group LLC is seeking an Operations Principal in a full‑time, on‑site role with a hybrid schedule. The position reports to the Director of Operations and offers a base salary of $100,000–$125,000 with a 10% annual bonus and unlimited PTO.

Location flexibility includes Indianapolis, IN and several other major markets. The Operations Principal will supervise risk management and review business activities across brokerage and advisory lines, ensuring regulatory alignment and

Qualifications

• 3–5 years of experience in financial operations.
• Undergraduate degree in Business, Finance or related discipline or equivalent experience.
• 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 our business partner firms on escalated issues and concerns is critical

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 and FINRA regulatory requirements in providing operational support to the firm.
• Provide five-star support, training and education to operational support staff and related brokerage/advisory representatives.
• Coordinate with advisors for Not in Good Order paperwork and requested custodial support.
• Promote an atmosphere of trust while offering solutions for process improvements.
• Handle other operations department duties as assigned

Skills

Regulatory knowledge

FINRA knowledge

SEC knowledge

Regulatory compliance

Education

Undergraduate degree in Business or Finance

Job description

Sanctuary Wealth Group LLC is seeking an Operations Principal in a full‑time, on‑site role with a hybrid schedule. The position reports to the Director of Operations and offers a base salary of $100,000–$125,000 with a 10% annual bonus and unlimited PTO.

Location flexibility includes Indianapolis, IN and several other major markets. The Operations Principal will supervise risk management and review business activities across brokerage and advisory lines, ensuring regulatory alignment and