Sr. Manager, Operations

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

Summary of the Job

Northland's Operations Manager oversees day‑to‑day management and execution of operational activities across capital markets brokerage, advisory, and investment banking platforms. He/she 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 role supports financial representatives, advisors, and clients, and implements process enhancements aligned with the firm’s strategic goals.

About This Role

Operational Leadership Oversees daily processing and service delivery across Front‑Office 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 Partners with the Director of Custody Oversight and Risk, Head of Operations and IT to identify, test, and implement automation, technology enhancements, and system integrations. Ensures procedures are current, standardized, and documented across the department. Identifies opportunities to streamline manual processes and reduce rework or exceptions. Coordinates with Pershing and internal technology teams on operational system enhancements or issue resolution.

Risk and Compliance Maintains adherence to firm policies, FINRA/SEC regulations, and Pershing operational standards. Collaborates with the Director of Custody Oversight and Risk, Compliance, and Finance on issue management, audits, and reconciliations. Manages operational exception reporting and ensures timely resolution.

Cross‑Department Collaboration Acts as the primary liaison between Sales, Sales Assistants, and Operations teams to ensure seamless client service and accurate processing. Coordinates with Finance and Compliance to ensure data integrity and timely reporting. Provides operational insights and recommendations to leadership for process or structural improvements.

People Development Mentors and coaches operations team members to build cross‑functional expertise and accountability. Promotes a culture of collaboration, transparency, and continuous learning. Identifies and develops 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

Qualifications

• Experience: 5+ years within the financial services industry, preferably wealth management and fixed income
• Licensing: Active FINRA Series7,24,66, and6
• Education: Bachelor’s degree in finance, business, economics, or relevant work experience

Candidate must possess unrestricted work authorization and not require future sponsorship.

Work Environment

The incumbent will work onsite at the posted location. Our onsite environment fosters innovation, mentorship, and a vibrant culture where ideas flow freely and relationships flourish. Work location is subject to change based on business needs.

Compensation and Benefits

• Competitive salary and work‑life balance
• Medical, Dental, Vision Insurance
• 401(k) with matching contributions
• Time Off Programs
• Health Savings Account (HSA) / Dependent Care
• Employee Banking
• Growth Opportunities
• Tuition Assistance
• Short‑Term / Long‑Term Disability Insurance

Job number: R‑20261240

Registration Requirement

This position requires FINRA registration. Successful candidates must meet ongoing regulatory requirements including acceptable background investigation, credit report, and fingerprinting results.

Equal Opportunity & Belonging

Northland is an equal‑opportunity employer for all employees and applicants and makes employment decisions without regard to status or identity. Northland follows federal law regarding the use of marijuana. Northland is an Equal Opportunity/Affirmative Action/Veterans/Disability Employer – Member FDIC.