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Series 53 Jobs in Indiana (NOW HIRING)

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Series 53 information

What is the difference between Series 53 vs Series 7?

AspectSeries 53Series 7
Primary FunctionMunicipal securities dealer registration and complianceGeneral securities representative, including stocks and bonds
Required CertificationsSeries 53Series 7
Work EnvironmentMunicipal securities firms, regulatory complianceBroker-dealers, securities firms, retail and institutional sales
Industry UsagePrimarily in municipal securitiesBroader securities industry, including stocks, bonds, options

The Series 53 and Series 7 exams are both essential licenses in the securities industry. The Series 53 focuses on municipal securities dealer registration and compliance, while the Series 7 covers a wide range of securities transactions. Professionals often pursue Series 53 to specialize in municipal bonds, whereas Series 7 is more comprehensive for general securities trading. Understanding these differences helps candidates choose the right license based on their career focus in the securities industry.

What is a Series 53 license?

A Series 53 license is a professional qualification required for individuals who supervise the municipal securities activities of broker-dealers in the United States. The Series 53 exam, administered by the Municipal Securities Rulemaking Board (MSRB), tests knowledge of MSRB rules, federal securities laws, and regulatory requirements related to municipal securities. Passing this exam allows a person to act as a Municipal Securities Principal, overseeing compliance and operations related to municipal bond transactions.

What are common challenges faced by professionals holding the Series 53 license when supervising municipal securities activities?

One of the main challenges for Series 53 professionals is staying current with the constantly evolving regulations and compliance requirements related to municipal securities. They must ensure that all transactions and supervisory procedures are in line with MSRB rules, which can be complex and subject to frequent updates. Additionally, balancing supervisory responsibilities across multiple departments and maintaining effective communication with registered representatives can be demanding. Strong organizational skills and ongoing education are essential for success in this supervisory role.

What skills and qualifications are needed to thrive as a Series 53 Municipal Securities Principal?

To thrive as a Series 53 Municipal Securities Principal, you need a deep understanding of municipal securities regulations, compliance procedures, and supervisory principles, typically validated by passing the Series 53 exam and holding prior securities licenses like Series 7 or Series 52. Familiarity with regulatory systems such as MSRB G-Systems and compliance monitoring tools is essential. Exceptional attention to detail, ethical judgment, and strong leadership skills help ensure effective supervision and adherence to legal standards. These competencies are crucial for maintaining regulatory compliance, minimizing risk, and upholding the integrity of municipal securities transactions.

What does the Series 53 allow you to do?

The Series 53 license allows individuals to supervise and oversee municipal securities activities, including the operation of municipal securities principal functions. It qualifies professionals to manage municipal bond sales, trading, and related activities within a municipal securities firm. This license is often required for those working in municipal securities supervision and compliance roles.
What are popular job titles related to Series 53 jobs in Indiana? For Series 53 jobs in Indiana, the most frequently searched job titles are:
What job categories do people searching Series 53 jobs in Indiana look for? The top searched job categories for Series 53 jobs in Indiana are:
What cities in Indiana are hiring for Series 53 jobs? Cities in Indiana with the most Series 53 job openings:
Series 53 jobs near you
Infographic showing various Series 53 job openings in Indiana as of August 2026, with employment types broken down into 76% Full Time, 21% Part Time, 1% Temporary, and 2% Contract. Highlights an 84% Physical, 3% Hybrid, and 13% Remote job distribution.

Operations Principal

Sanctuary Wealth Group LLC

Indianapolis, IN • Hybrid

$100K - $125K/yr

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Re-posted 16 days ago

Job description

Description

Operations Principal

Reports To: Director of Operations

Location: Indianapolis, IN, San Antonio, TX, Miami, FL, Omaha, NE or Portland, OR

Type: Full-Time, On-Site with Hybrid Schedule

Compensation Package: $100,000-$125,000 Base Salary (*commensurate with experience) + 10% Annual Bonus Eligibility + Competitive Benefits Package + Unlimited PTO 


Join Our Team at Sanctuary Wealth - Sanctuary Wealth is a leading partnered independence platform for elite financial advisors and wealth management firms, designed to empower entrepreneurial teams to build, own, and grow their practices while delivering exceptional client outcomes. As a rapidly growing organization with a national network of partner firms and a fully integrated RIA and broker-dealer platform, Sanctuary provides the infrastructure, technology, and compliance support that allows advisors to focus on what matters most-serving clients and growing their businesses.

Position Summary -  The Operations Principal provides supervisory and compliance oversight to support the firm's risk management framework across both brokerage and advisory business lines. This role is responsible for reviewing and approving new and ongoing business activities in accordance with firm policies, Written Supervisory Procedures (WSPs), and applicable FINRA, SEC, and state regulatory requirements.


This includes the review of managed account and advisory agreements, brokerage account documentation, client profile updates, account maintenance requests, and transactions, as well as oversight of direct business and insurance-related products. The Operations Principal plays a critical role in ensuring all client and advisor activity is processed accurately, appropriately supervised, and aligned with regulatory standards.


In addition to transactional review, this individual serves as a key control function within the firm-identifying potential risks, resolving exceptions, and supporting consistent application of supervisory policies across a high-volume, multi-channel advisory platform.


Responsibilities 

  • Complete a thorough review of new business and service-related required paperwork for both brokerage and managed accounts
  • Provide in depth knowledge of Written Supervisory Procedures as well as FINRA regulatory requirements in providing operational support to the firm
  • Provide "five star" support, training and education as needed to operational support staff as well as related brokerage and advisory representatives
  • Coordinate with advisors and support staff for the resolution of Not in Good Order "NIGO" paperwork as well as requested clearing or custodial support
  • Promote an atmosphere of trust and support while providing solutions and ideas for process and procedure improvements
  • Other operations department duties as assigned

Requirements

Qualifications

  • 3-5 years of experience working in financial operations.
  • Advanced working knowledge of FINRA, SEC and state regulations.
  • Strong understanding of General Securities, Mutual Funds, Insurance Products, and related investments in both clearing and custodial relationships.
  • Excellent oral and written communications skills.
  • Ability to make regulatory and supervisory decisions with little supervision.
  • Comfortable working in a fast paced, high-volume environment with a flexible work schedule.
  • Proactive collaboration and service-based responses with our business partner firms on escalated issues and concerns is critical


Education -

  • Undergraduate degree in Business, Finance or a related discipline or equivalent experience. 


Licenses 

  • Series 7, 66 (or 63 and 65), 24, 4 (or 9 and 10) required; 53, and Life and Health Insurance a plus 


Benefits & Perks: 

We believe in supporting our employees both personally and professionally by offering a comprehensive and competitive benefits package designed to promote well-being, financial security, career growth, and work-life balance.


Health & Wellness

  • Medical, dental, and vision insurance options 
  • Health Savings Account (HSA) programs 
  • Employer-paid life and disability insurance 
  • Wellness initiatives and preventative care support 

Financial Benefits

  • Competitive base compensation and 10% performance-based annual bonus opportunity 
  • 401(k) retirement plan with company match 
  • Employee referral bonus program 

Time Off & Flexibility

  • Unlimited paid time off (PTO) package 
  • Paid company holidays 
  • Paid parental leave 
  • Hybrid work schedule

Professional Development

  • Ongoing learning and development opportunities 
  • Professional certification and continuing education support 
  • Career growth and internal mobility opportunities 
  • Access to mentorship and leadership development programs 

Additional Perks

  • Company-sponsored employee engagement activities 
  • Technology and equipment support for applicable roles 
  • Inclusive and collaborative workplace culture 
  • Volunteer and community engagement opportunities

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