Remote Operations Manager, Trading, Licensing & 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 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