Director, Supervision

Penn Mutual•Philadelphia, PA

57d•$140,000 - $160,000

About The Position

Position Overview The HTK Director for the Supervision Principals is responsible for supervising the daily transactions and activities of HTK Registered Representatives and Investment Advisor Representatives and providing ongoing support to Financial Professionals and Field Leadership. The Director will primarily be responsible for the FIS Protegent tool as the FIS Administrator. This role includes collaborating with the technology department to support the ongoing implementation, testing, alert settings maintenance, and staff training related to the FIS Protegent Surveillance tool and its associated alerts. This individual must be proficient in the processes and procedures that relate to the compliance/supervision functions within the office and must possess strong leadership skills and the ability to work independently.

Requirements

7+ years supervisory experience with a Broker/Dealer or RIA.
Proficiency with FIS or comparable surveillance platforms used for monitoring securities transactions
Experience managing and leading a successful team
Working knowledge and understanding of rules and regulations related to securities and insurance industries
Bachelor’s degree preferred
FINRA Series 7, 24, 66 required
FINRA Series 53, and 4 or ability to obtain within 6 months
Life Insurance license preferred
Must have excellent oral and written communication skills and the ability to communicate and present to senior leaders.
Experienced and skilled at relationship building.
Adept at technology and proficient in Excel, Word, and PowerPoint.
Excellent customer service orientation.
Strong organizational skills and ability to multitask.
Detail oriented
Ability to influence others.
Ability to collaborate with others and work in a team environment.
Ability to make a positive contribution as demonstrated by learning new skills and making suggestions for process/procedure improvement.
Ability to lead a successful team

Responsibilities

Supervise sales activities of registered representatives including the review of daily trade activity and performing suitability and best interest reviews for all investment sales including stocks, bonds, options, mutual funds, ETFs, alternative investments, structured products, and Annuities.
Supervise sales activities of investment advisor representatives including the review of investment advisory new accounts and managed account transactions reviews
Knowledge of policies and procedures for a registered investment advisor and broker dealer; for example, advertising and sales literature, email, outside business activities and private securities transactions
Assist in Field related investigations as needed/requested
Document RR activity and issues and provide monthly report to Field Leadership
Coordinate audit requests as needed regarding activities of the Supervision Department
Perform other related duties as assigned
Monitoring system queues for designated offices and ensure workloads are distributed accordingly
Manage the performance of team members and provide guidance and training when necessary
Demonstrates a commitment to AI fluency by embracing AI tools and technologies to enhance individual and team performance, decision-making, and innovation.