HTK Operations Manager of Trading, Licensing, Contracting and Commissions

Penn Mutual; Northern (KY); Hybrid; USD 115,000 - 130,000; Full time

Job summary

HTK is seeking an Operations Manager to lead the Trading, Licensing, Contracting and Commissions team in a remote US role. You will supervise trading specialists, licensing and compensation analysts, ensuring compliant, accurate client orders and efficient operations across regulatory controls.

Reporting to the VP of Operations, you will drive process improvements, KPI tracking, risk mitigation, and cross-functional collaboration with internal partners while championing AI usage for automation

Qualifications

• Minimum 5-7 years of supervisory experience in brokerage, trading, licensing, or compensation.
• FINRA Series 24 registration is required.
• Strong knowledge of securities trading and regulatory requirements.

Responsibilities

• Lead and develop the HTK Trading, Commissions and Licensing team.
• Escalation point for complex inquiries.
• Streamline processes, close gaps, reduce risk and improve experience.
• Ensure compliant handling of client orders per regulations.
• Oversee CLR functions, records, and onboarding processes.
• Monitor KPIs, quality metrics, and training needs.

Skills

Supervisory experience

FINRA Series 24

Securities industry knowledge

Analytical skills

Communication skills

Tools

Pershing NetX360

Envestnet

Job description

## HTK Operations Manager of Trading, Licensing, Contracting and CommissionsApply: Remote - United States: Full time: Posted Today: R-100675**Job Description:**Reporting directly to the VP of Operations for HTK, the **HTK Operations Manager of Trading, Licensing, Contracting and Commissions** is responsible for leading a team of trading specialists, licensing, and compensation analysts. This role oversees daily operations of the trading desk, ensuring efficient and accurate execution of client trades, strong coordination between trading, operations, compliance, and adherence to applicable regulatory and internal policies.**Key Responsibilities:** •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 our internal partners, financial professionals, and field offices as needed. •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 any issues that impact Field Compensation. •Partner with Life and Annuity Services, Life and Annuity New Business, Payroll, Sales, Product, Actuary, Financial Distribution and various other internal partners. •Serve as Key liaison between HTK and our field partners. •Champion the use of AI technologies within the team, fostering a culture of innovation and continuous improvement.**Required Qualifications:** •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.**Preferred Qualifications:** • Knowledge of Pershing NetX360 and Envestnet platforms. • Experience in broker-dealer, RIA, or regulated financial services. • Experience supporting regulatory exams or audits.Base Salary Range - $115,000 - $130,000