AI-Driven Ops Manager, Account Opening & Compliance

PML Penn Mutual Life Insurance Company; United States; On-site; USD 115,000 - 130,000; Full time

Job summary

Penn Mutual Life Insurance Company is seeking an experienced Senior Supervisory Manager to oversee brokerage and advisory account review processes across the nationwide team. You will supervise registered principals, ensure completeness and compliance of applications, and guide high‑risk decisions in line with KYC/AML and suitability standards.

The role offers a base salary range of $115,000 to $130,000 and requires FINRA Series 24 plus 5–7 years of supervisory experience in broker‑dealer or

Qualifications

• 5-7 years of supervisory experience in broker‑dealer or compliance functions.
• 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.

Responsibilities

• Manage and develop registered principals who review and approve brokerage and advisory account applications.
• Oversee new account application reviews for completeness, accuracy, appropriateness, and compliance.
• Provide oversight of account-opening decisions, including escalated, complex, or higher‑risk applications.
• Ensure consistent application of suitability, supervisory, KYC/AML, and account‑eligibility requirements.
• Maintain review standards, procedures, escalation protocols, and approval criteria.
• Partner with Operations, Compliance, Legal, and Risk to resolve account‑opening issues.
• Promote AI adoption and continuous improvement within the team.
• Monitor application volumes, turnaround times, quality metrics, exceptions, and KPIs.
• Conduct QA reviews to identify trends, deficiencies, training needs, and control weaknesses.
• 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.

Skills

Supervisory experience

Regulatory interpretation

Written communication

Verbal communication

Job description

Penn Mutual Life Insurance Company is seeking an experienced Senior Supervisory Manager to oversee brokerage and advisory account review processes across the nationwide team. You will supervise registered principals, ensure completeness and compliance of applications, and guide high‑risk decisions in line with KYC/AML and suitability standards.

The role offers a base salary range of $115,000 to $130,000 and requires FINRA Series 24 plus 5–7 years of supervisory experience in broker‑dealer or