Team Lead, Operations and Supervision

As a Team Lead, Operations and Supervision you’ll play a critical part in supporting Mariner’s broker-dealer operational and supervisory functions, helping ensure a strong, efficient, and compliant platform. You’ll serve as a trusted resource and mentor to a small team, providing guidance on day-to-day broker-dealer operations and partnering closely with vendors, product sponsors, carriers, and clearing firms to drive seamless execution. Reporting to the Director of Compliance, you’ll help strengthen our supervisory framework while living Mariner’s values of caring for clients and associates, delivering excellence, and fostering a culture of belonging within MSEC, LLC—Mariner’s affiliated broker-dealer.

Responsibilities 
•    Lead and coordinate broker-dealer operations and supervision support to ensure accurate, timely processing and high-quality service to clients and registered representatives.
•    Serve as the primary point of contact for MSEC operations, partnering closely with Compliance, Licensing, vendors, product sponsors, carriers, and clearing firms.
•    Oversee day-to-day account onboarding and maintenance, including data entry and reconciliation, NIGO resolution, and coordination with registered representatives prior to supervisory review.
•    Support supervisory and compliance activities, including AML/CIP, OFAC, FinCEN 314(a), SEC Rule 17a-3 books and records, check supervision, and regulatory inquiries or examinations.
•    Develop, maintain, and enhance operational procedures, controls, metrics, and documentation to ensure accuracy, consistency, and regulatory compliance.
•    Train, coach, and mentor the Broker-Dealer Operations & Supervision Support team while modeling and reinforcing Mariner’s values.
•    Assist with onboarding and transitions of registered representatives, including system access, licensing coordination, and ongoing consultative support.
•    Drive innovation and continuous improvement through the evaluation and implementation of technology, automation, workflow enhancements, and AI-enabled solutions.
•    Support special projects and operational initiatives, including system evaluations, mail and medallion processing, and other business-critical activities as needed.
 

Required 
•    3+ years of brokerage operations experience within the securities industry
•    FINRA Series SIE, 7, 24, or 9/10
•    Experience with trade reporting systems, such as TRACE, RTRS, and CAT/CAIS a plus, but not required
We welcome your interest in being a part of our firm. We believe in giving associates progressive opportunities, actively nurturing professional growth and giving back to the community. We are dedicated to building a diverse culture where everyone has the support they need to achieve their career goals. We offer an innovative workplace and a culture that fosters camaraderie, teamwork and work-life balance.  
EOE M/F/D/V

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