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Regulatory Compliance Specialist Financial Services

Senior Operations Principal: Advisor Support & Trade Ops

Job in Chicago, Cook County, Illinois, 60290, USA
Listing for: San Blas Securities
Full Time position
Listed on 2025-12-31
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Financial Services
  • Business
    Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 90000 - 105000 USD Yearly USD 90000.00 105000.00 YEAR
Job Description & How to Apply Below
A financial services firm is seeking a Senior Operations Principal in Chicago, IL. This role requires active FINRA Series 7 and 24 licenses and 7-10 years of experience in financial services operations. Responsibilities include providing advisor support, resolving complex trade issues, and managing operational risks. The role is hybrid with an in-office onboarding requirement and offers a competitive salary of $90,000 – $105,000, plus benefits.

Strong communication skills and experience in broker-dealer operations are essential.
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Position Requirements
10+ Years work experience
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