Senior Regional Supervision Principal

Penn Mutual•Philadelphia, PA

About The Position

The Senior Regional Supervising Principal (Senior RSP) plays a critical role in HTK’s supervisory hierarchy, overseeing the sales practices of approximately 250 Financial Professionals (FPs) across a designated region. This newly established role addresses regulatory requirements under FINRA Broker-Dealer standards and supports HTK’s evolving business model by providing a structured escalation pathway for day-to-day supervisory matters. The Senior RSP will lead disciplinary issue resolution, conduct policy reinforcement training, and manage complex business-related requests requiring risk assessment and oversight planning. This role also supports enhanced data reporting and documentation processes, especially in preparation for HTK’s system upgrades in 2026. The position requires up to 50% travel annually, including in-person visits to one-third of assigned offices to proactively engage in risk mitigation. 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 www.pennmutual.com. 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. You’ve got big plans. You want to do work that matters. And you have high expectations for the next step in your career. Join a team of bright, talented and driven employees who have a common goal in mind: To help people get stronger. It's as simple as that. You’ll build on your expertise and have a positive impact on the financial professionals we support and the clients they serve. Here, you're an expert in the subject matter and you'll always be treated like one. Every day, your purpose is to help people get stronger. But here's the thing: Professionally, you'll get stronger too.

Requirements

5+ years supervisory experience with a Broker/Dealer or RIA
Excellent oral and written communication skills, with ability to present to senior leaders
Skilled in relationship building and conflict resolution
Proficient in Excel, Word, and PowerPoint
Strong customer service orientation
Detail-oriented with strong organizational and multitasking abilities
Ability to influence and collaborate across teams
Demonstrated ability to contribute to process improvements and learn new skills
FINRA Series 7, 24 required
Deep understanding of securities and insurance regulations
Independent judgment and leadership in supervisory matters
Ability to manage escalated issues and make informed disciplinary recommendations
Strategic thinking aligned with HTK’s evolving business model

Nice To Haves

Bachelor’s degree preferred
FINRA Series 53, 66 preferred
Life Insurance license preferred

Responsibilities

Serve as the primary supervisory contact for assigned Financial Professionals
Lead disciplinary issue resolution and policy reinforcement training
Review and assess outside business activities and private securities transactions
Conduct annual in-person office visits to support proactive risk mitigation
Review and approve securities-related correspondence, electronic communications, and social media
Support documentation and closure of trend reports in real time
Collaborate on supervisory oversight design for complex business requests
Assist in meetings and investigations as needed
Provide training on company policies, trading operations, and regulatory requirements.
Perform other related duties as assigned
Ability to travel as needed