HTK Operations Manager of Trading, Licensing, Contracting and Commissions
Job Description:
Reporting directly to the VP of Operations for HTK, the HTK Operations Manager of Trading, Licensing, Contracting and Commissions is responsible for leading a team of trading specialists, licensing, and compensation analysts. This role oversees daily operations of the trading desk, ensuring efficient and accurate execution of client trades, strong coordination between trading, operations, compliance, and adherence to applicable regulatory and internal policies.
Key Responsibilities:
•Manage and develop the HTK Trading, Commissions and Licensing team.
•Serve as an escalation point for questions involving complex inquiries.
•Identify opportunities to streamline and/or improve processes, close gaps, reduce risk, and enhance the employee, customer, or advisor experience.
•Ensure appropriate prioritization and handling of client orders in accordance with applicable regulations and firm policies.
•Maintain operational standards, procedures, documentation, escalation protocols, and approval criteria.
•Provide consultation and advice to our internal partners, financial professionals, and field offices as needed.
•Oversee compensation and contracting, licensing, registration (CLR) functions, ensuring compensation and financial professional records are complete, accurate, and executed timely.
•Monitor volumes, turnaround times, quality metrics, exceptions, and KPIs.
•Conduct quality reviews to identify trends, deficiencies, training needs, and control weaknesses.
•Support Transitions, new FP onboarding, demographic maintenance and regulatory adherence processes.
•Work closely with internal partners to resolve any issues that impact Field Compensation.
•Partner with Life and Annuity Services, Life and Annuity New Business, Payroll, Sales, Product, Actuary, Financial Distribution and various other internal partners.
•Serve as Key liaison between HTK and our field partners.
•Champion the use of AI technologies within the team, fostering a culture of innovation and continuous improvement.
Required Qualifications:
•5-7 years of supervisory experience in brokerage, trading, licensing, or compensation functions.
•FINRA Series 24 registration required.
•Strong knowledge of securities industry, trade execution, investment products, and FINRA/SEC requirements.
•Strong analytical and organizational skills with attention to detail.
•Strong written and verbal communication skills.
Preferred Qualifications:
• Knowledge of Pershing NetX360 and Envestnet platforms.
• Experience in broker-dealer, RIA, or regulated financial services.
• Experience supporting regulatory exams or audits.
Base Salary Range - $115,000 - $130,000
For over 175 years, Penn Mutual has empowered individuals, families and businesses on the journey to achieve their financial goals. Through our partnership with Financial Professionals across the U.S., we help instill the confidence and reliability that comes from a stronger financial future. Penn Mutual and its affiliates offer a comprehensive suite of competitive products and services to meet the unique needs of Financial Professionals and their clients, including life insurance, annuities, wealth management and institutional asset management. To learn more, including current financial strength ratings, visit .
Penn Mutual is committed to Equal Employment Opportunity (EEO). We provide employment and advancement opportunities to all qualified applicants and associates, according to applicable laws. This is reflected in our practices for hiring, placement, promotion, transfer, demotion, layoff, termination, recruitment, compensation, selection or training, and all other terms and conditions of employment. All employment-related decisions and practices are free from unlawful discrimination. This includes: race, creed, color, national origin, ancestry, citizenship age, gender (including pregnancy), sexual orientation, gender identity or expression, domestic partnership or civil union status, marital status, genetic information, disability, religious observance or practice, liability, veteran status or any other classification protected under applicable law.