paylocity
Operations Principal
Sanctuary Wealth Group LLC
Indianapolis, USA
Full-time
Mid · 3+ years experience
Hybrid
USD 100000-125000 yearly / year
Discovered 1 weeks ago
Free
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The Operations Principal provides supervisory and compliance oversight to support the firm’s risk management framework across both brokerage and advisory business lines. This role is responsible for reviewing and approving new and ongoing business activities in accordance with firm policies, Written Supervisory Procedures (WSPs), and applicable FINRA, SEC, and state regulatory requirements.
This includes the review of managed account and advisory agreements, brokerage account documentation, client profile updates, account maintenance requests, and transactions, as well as oversight of direct business and insurance-related products. The Operations Principal plays a critical role in ensuring all client and advisor activity is processed accurately, appropriately supervised, and aligned with regulatory standards.
In addition to transactional review, this individual serves as a key control function within the firm—identifying potential risks, resolving exceptions, and supporting consistent application of supervisory policies across a high-volume, multi-channel advisory platform.
Full Job Posting
Location
- Indianapolis, IN, San Antonio, TX, Miami, FL, Omaha, NE or Portland, OR
- Type: Full-Time, On-Site with Hybrid Schedule
Compensation Package
- $100,000-$125,000 Base Salary (*commensurate with experience) + 10% Annual Bonus Eligibility + Competitive Benefits Package + Unlimited PTO
- Required Licenses: See details below.
- Join Our Team at Sanctuary Wealth - Sanctuary Wealth is a leading partnered independence platform for elite financial advisors and wealth management firms, designed to empower entrepreneurial teams to build, own, and grow their practices while delivering exceptional client outcomes. As a rapidly growing organization with a national network of partner firms and a fully integrated RIA and broker-dealer platform, Sanctuary provides the infrastructure, technology, and compliance support that allows advisors to focus on what matters most—serving clients and growing their businesses.
Position Summary
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