Operations Manager – Trading, Licensing, Contracting, Commissions

🔥 20 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

• 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 internal partners, financial professionals, and field offices • 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 issues that impact Field Compensation • Partner with Life and Annuity Services, Life and Annuity New Business, Payroll, Sales, Product, Actuary, Financial Distribution and other internal partners • Serve as key liaison between HTK and field partners • Champion the use of AI technologies within the team, fostering innovation and continuous improvement

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