Operations Manager – Trading, Licensing & Commissions

Penn Mutual

United States

On-site

USD 115,000 - 130,000

Full time

14 days+

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Job summary

Penn Mutual is seeking an HTK Operations Manager of Trading, Licensing, Contracting and Commissions to lead a team of trading specialists, licensing, and compensation analysts. You will oversee daily trading desk operations and ensure compliant, accurate execution of client trades while coordinating with trading, operations, compliance, and internal partners.

The role requires 5–7 years of supervisory experience in brokerage or compensation, FINRA Series 24, and strong analytical and

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.

Responsibilities

Lead the HTK Trading, Licensing and Compensation teams and develop staff.
Serve as escalation point for complex inquiries.
Identify opportunities to streamline processes, reduce risk, and improve experiences.
Ensure proper handling of client orders per regulations and firm policy.
Maintain procedures, documentation, escalation protocols, and approval criteria.
Provide consultation to internal partners and field offices as needed.
Oversee CLR functions and ensure records are complete and timely.
Monitor volumes, turnaround times, quality metrics, and KPIs.
Conduct quality reviews to identify trends and training needs.
Support onboarding and regulatory adherence processes.
Collaborate with internal partners to resolve issues impacting Field Compensation.