Director – HTK Operations

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🔥 0 minutes ago

🇺🇸 United States – Remote

💵 $145k - $165k / year

⏰ Full Time

🔴 Lead

⚙️ Operations

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Penn Mutual

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 1847

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 generations grow stronger by instilling the confidence and reliability that comes from a secure financial future. Penn Mutual and its affiliates offer a comprehensive suite of competitive and robust solutions 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.

📋 Description

• Own broker-dealer and RIA back-office operations, including account onboarding, maintenance, new account review, trading support, cashiering, disbursements, ACATs/transfers, suitability, and field advisor support • Establish and enforce operational standards, SLAs, KPIs, capacity planning, escalation paths, and issue management • Oversee supervisory functions for new account review with Compliance • Provide regulatory and control oversight for FINRA, SEC, and MSRB compliance • Maintain procedures and regulatory readiness; lead exams and remediation efforts • Collaborate with vendors and technology partners to improve platforms, integrations, data quality, operational resiliency, and system performance • Coach and develop HTK team members and people leaders while building succession depth • Identify and close procedural and control gaps • Design and implement scalable, repeatable processes for a regulated broker-dealer environment • Lead regulatory exam readiness and remediation with Compliance and Risk • Lead implementation of Docupace for new account workflow, books and records, and straight-through processing • Leverage data and analytics to drive decisions and proactively surface operational risk • Shape the strategic direction of HTK's operational framework in partnership with key stakeholders

🎯 Requirements

• Bachelor's Degree is required • Series 65 and Series 24 registrations required; Series 27 preferred • 10+ years leading teams and driving cross-functional initiatives • 10+ years in life insurance, annuities, or financial services, with a focus on agile delivery and digital transformation • Deep expertise in broker-dealer operations and FINRA, SEC, and MSRB regulatory frameworks • Proven success leading operational transformation and technology modernization • Strong strategic thinking, problem solving, communication, and stakeholder management skills • Data-driven decision-making and strong risk awareness • Ability to navigate ambiguity, drive change, and foster innovation • Ability to translate complex issues into clear insights • Demonstrated ability to build and lead high-performing teams

🏖️ Benefits

• Comprehensive suite of competitive products and services • Employment and advancement opportunities • Competitive base salary