Operations Principal (Series 7 & Series 24)

Operations Principal (Series 7 & Series 24) Austin, Arizona – Direct Hire – $75,000 Job Description This is an opportunity to step into a senior-level operational leadership role with a respected financial services organization supporting independent advisors nationwide. If you thrive in fast-paced environments, enjoy solving complex operational issues, and want to be viewed as a trusted expert within the business, this role offers the visibility and autonomy to do exactly that. Compensation & Benefits 75,000 base salary 10% annual incentive bonus Hybrid work schedule – Fridays remote 18 PTO days + 11 paid holidays Excellent benefits package Strong long-term stability and career growth What You’ll Be Doing Perform principal review of complex operational and client account documentation Review legal and account-related documents including POAs, trust paperwork, LLC documents, margin applications, and check-writing requests Resolve escalated operational issues and complex NIGO exceptions Work closely with advisors, compliance, and legal teams to ensure regulatory accuracy Lead signature guarantee and forms governance processes Develop reporting and provide operational insights to leadership Support operational initiatives, workflow improvements, and department projects What We’re Looking For Active Series 7 and Series 24 licenses (REQUIRED) Active Series 63 or 66 licenses (REQUIRED) 5+ years of financial services operations experience Strong Broker-Dealer and/or RIA operations background Experience with principal review and escalated operational matters Strong understanding of FINRA and SEC regulations Ability to work independently and make sound operational decisions Excellent communication and organizational skills Ideal Candidate Strong operational leadership mindset Detail-oriented and highly organized Comfortable handling escalations and high-priority matters Experienced within wealth management operations Process improvement and risk-focused thinker Strong partner to leadership and internal teams MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at View email address on click.appcast.io. #J-18808-Ljbffr Mohr Talent