HTK Operations Manager of Trading, Licensing, Contracting and Commissions

Penn Mutual•Philadelphia, PA

8d•$115,000 - $130,000

About The Position

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.

Requirements

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.

Nice To Haves

Knowledge of Pershing NetX360 and Envestnet platforms.
Experience in broker-dealer, RIA, or regulated financial services.
Experience supporting regulatory exams or audits.

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.