Operations Manager – Suitability

🔥 16 hours ago

🇺🇸 United States – Remote

💵 $115k - $130k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

⚙️ Operations

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

👻 Ghost score 0%

What it means: how likely this posting is sitting open without active hiring.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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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

• Lead and develop a team of registered principals who review and approve brokerage, advisory, mutual fund, and variable product applications • Oversee new account application reviews for completeness, accuracy, appropriateness, and compliance • Provide oversight of escalated, complex, or higher-risk account-opening decisions • Ensure consistent application of suitability, supervisory, KYC/AML, and account-eligibility requirements • Maintain review standards, procedures, escalation protocols, approval criteria, supervisory controls, and documentation • Partner with Operations, Compliance, Legal, and Risk to resolve account-opening issues • Promote AI adoption and continuous improvement • Monitor application volumes, turnaround times, quality metrics, exceptions, and KPIs • Conduct QA reviews to identify trends, deficiencies, training needs, and control weaknesses • Serve as escalation point for complex customer, account, product, ownership, restriction, or suitability matters • Lead training for registered principals and account-opening personnel • Support regulatory exams, internal audits, compliance testing, and management reporting • Stay current on relevant securities regulations, FINRA rules, firm policies, and industry practices

🎯 Requirements

• 5-7 years of supervisory experience in broker-dealer or compliance function • FINRA Series 24 registration required • Strong knowledge of suitability, supervisory practices, and FINRA/SEC requirements • Ability to interpret regulations and firm policies for account-review decisions • Strong written and verbal communication skills • Experience in broker-dealer, RIA, bank-affiliated brokerage, or regulated financial services • Experience with account-opening and suitability systems • Experience supporting regulatory exams or audits