Only passionate people apply.

Client One is a leader in the hybrid, small broker-dealer market. Our reputation and distinctive advisors have consistently grown. We’re perpetually growing our offerings and services to help our advisors reach their potential.

If you’re looking for an exciting career opportunity and to become a valuable employee in our brokerage office, look no further.


Operations Principal

Position Summary

The Operations Principal will provide supervisory support of the Client One Operations Center.  This series 24 principal will conduct oversight of all introducing Broker/Dealer activities. 

Duties and responsibilities include, but are not limited to:

  • Supervisory responsibilities of assigned reps offices activities.
  • Supervisory oversight of mutual fund direct business.
  • Supervisory oversight of variable annuity business.
  • Conduct field branch audits.
  • Supervisory oversight of new accounts.
  • Supervisory oversight of trade blotters on a daily basis.
  • Supervise operations staff and sales assistants.
  • Monitor/Review Netx360 work basket, operations e-mails and fax e-mails.
  • Process work items as needed in a backup situation.
  • Responsible for monitoring of e-mail.
  • Back up for trading and block trading on Pershing platform.

Critical Skills Sought:

  • Research and resolve problems in client accounts.
  • Strong general administrative and telephone skills.
  • Team oriented, enjoy working with people, pro-active and flexible.
  • Must be a self-starter and highly motivated with the ability to work independently and accurately in a fast paced environment.


  • Series 7, 63, 65/66 and 24 required
  • Pershing Netx360 experience preferred.
  • CASEAR commission system experience a plus
  • Charles Schwab Institutional experience preferred.
  • Must be able to pass a CRD, background and credit check.
  • Proficient in various computer applications, including Microsoft Office Suite.
  • 3 plus years in securities industry preferred.

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This description covers the major purpose and major functions of the job.  It is not intended to give all details or a step by step account of the way each task is to be performed.  Employees may receive other job related instructions and be required to perform other job related duties requested by their supervisor.  All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities.


Application Form

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