Sr. Manager, Operations

At Northland our employees are the heart of our storyand were committed to their success! Please see below the details of this career opportunity and how it fits into our organizations success.

About This Role:

Operational Leadership

• Oversee daily processing and service delivery across Front-Office Operations 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

• Partner with the Director of Custody Oversight and Risk Head of Operations and IT to identify test and implement automation technology enhancements and system integrations.
• Ensure procedures are current standardized and documented across the department.
• Identify opportunities to streamline manual processes and reduce rework or exceptions.
• Coordinate with Pershing and internal technology teams on operational system enhancements or issue resolution.

Risk and Compliance

• Maintain adherence to firm policies FINRA/SEC regulations and Pershing operational standards.
• Collaborate with the Director of Custody Oversight and Risk Compliance and Finance on issue management audits and reconciliations.
• Manage operational exception reporting and ensure timely resolution.

Cross-Department Collaboration

• Act as the primary liaison between Sales Sales Assistants and Operations teams to ensure seamless client service and accurate processing.
• Coordinate with Finance and Compliance to ensure data integrity and timely reporting.
• Provide operational insights and recommendations to leadership for process or structural improvements.

People Development

• Mentor and coach operations team members to build cross-functional expertise and accountability.
• Promote a culture of collaboration transparency and continuous learning.
• Identify and develop 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.

The Ideal Candidate for This Role:

Required:

• Experience: 5 years of experience within the financial services industry preferably in wealth management and fixed income
• Licensing: Active FINFRA Series 7 24 66 and 6.
• Education: Bachelors degree in finance business economics or a relevant work experience.

Work Environment:

Compensation and Benefits Overview:

We offer a variety of benefits designed to keep you and your family physically and financially healthy. Not only do we offer a competitive salary and work-life balance we offer benefits to match your needs:

• Medical Dental Vision Insurance

• 401k With Matching Contributions

• Time Off Programs

• Health Savings Account (HSA)/Dependent Care

• Employee Banking

• Growth Opportunities

• Tuition Assistance

• Short-Term/Long-Term Disability Insurance

Learn more about our benefits here: obtain compensation and benefit information related to this specific role e-mail First National at . To ensure you receive a response include the number of this job (listed below) in the subject line of your message.

Registration Requirement:

This position requires Financial Industry Regulatory Authority (FINRA) registration. Qualification requirements include meeting applicable financial industry responsibility regulatory requirements credit fitness and criminal background standards. Successful candidates must meet ongoing regulatory requirements including acceptable background investigation credit report and fingerprinting results.

Equal Opportunity & Belonging:

We believe that the quality of our employee experience is at the heart of our customer experience. One key pillar of our intended employee experience is Belonging. Belonging means we are committed to fostering a workplace culture where employees of all backgrounds feel valued recognized and empowered to be their authentic selvesno matter their role or where they are in their journey.

Learn more here.

Northland is an equal opportunity employer for all employees and applicants and makes employment decisions without regard to status or identity.

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Northland is an Equal Opportunity/Affirmative Action/Veterans/Disability Employer - Member FDIC

Northland follows federal law regarding the use of marijuana (this applies to all non-California applicants)

Application Deadline:

All our jobs will be posted for a minimum of 5 calendar days. Job postings may come down prior to 5 calendar days based on volume of applicants.