Mariner · 1 day ago
Team Lead, Operations and Supervision
5700 W. 112th St., Overland Park, KS, 66211, US
Full-time
Onsite
Mid, Senior Level
3+ years expMariner is a privately held national financial services firm seeking a Team Lead for Operations and Supervision. The role involves supporting broker-dealer operational and supervisory functions, mentoring a team, and ensuring compliance and efficiency in operations.
FinanceConsultingProperty & Casualty InsuranceFinancial ServicesRisk Management
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
Qualification
Required
3+ years of brokerage operations experience within the securities industry
FINRA Series SIE, 7, 24, or 9/10
Preferred
Experience with trade reporting systems, such as TRACE, RTRS, and CAT/CAIS a plus, but not required
Company
Mariner
Your wealth plan shouldn’t sit still. Neither do we.
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
$75MKey Investors
Neuberger BermanPenfund
2024-10-29Private Equity
2022-01-06Debt Financing· $75M
Leadership Team
Marty Bicknell
Founder & CEO
F
Faith Xenos
Director and Senior Wealth Advisor
Recent News
Investment News
2026-01-21
Morningstar.com
2025-08-26
2025-05-02
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