Operations Manager – Trading, Licensing, Contracting, Commissions

Jobtailor; Deutschland; Remote; EUR 90.000 - 130.000; Vollzeit

Zusammenfassung

Jobtailor in Germany is seeking a senior supervisor to lead the HTK Trading, Commissions and Licensing team. You will act as an escalation point for complex inquiries and drive process improvements to reduce risk and improve the experience of employees, customers, and advisors.

The role requires strong knowledge of securities, FINRA/SEC requirements, and hands-on regulatory experience, with a focus on overseeing compensation, licensing, and records accuracy.

Qualifikationen

• 5-7 years of supervisory experience in brokerage, trading, licensing, or compensation functions.
• FINRA Series 24 certification 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.

Aufgaben

• 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.

Kenntnisse

Supervisory Experience

Brokerage

Trading Management

Regulatory Compliance

Compensation Functions

Client Order Handling

Process Improvement

Quality Review

KPI Monitoring

Documentation Management

Tools

Pershing NetX360

Envestnet

AI Technologies

Jobbeschreibung

• 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

Core Competencies

Demonstrates expertise in managing trading, commissions, and licensing operations while ensuring compliance with FINRA and SEC regulations. Proven ability to enhance processes, support regulatory adherence, and foster collaboration across financial services teams.

Highest-signal resume keywords

• Supervisory Experience
• FINRA Series 24 Registration
• Securities Industry Knowledge
• Analytical Skills
• Pershing NetX360 Knowledge

Hard Skills

• Trading Management
• Compensation Functions
• Regulatory Compliance
• Process Improvement
• Quality Review
• KPI Monitoring
• Client Order Handling
• Documentation Management
• Risk Reduction
• Financial Professional Records Management

Soft Skills

• Communication Skills
• Organizational Skills
• Attention to Detail
• Problem-Solving Skills
• Collaboration

Certifications & Qualifications

• FINRA Series 24

Industry Keywords

• Brokerage
• Trading
• Licensing
• Compensation
• Regulated Financial Services
• Investment Products
• FINRA
• SEC
• Broker-Dealer
• RIA

Tools & Technologies

• Pershing NetX360
• Envestnet
• AI Technologies