Trading Operations Lead - Licensing, Compliance & Analytics

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

Job summary

Penn Mutual Life Insurance Company in the United States is seeking an HTK Operations Manager of Trading, Licensing and Commissions to lead a team of trading specialists, licensing and compensation analysts. You will oversee daily trading desk operations, ensure compliance with regulations, and coordinate with internal partners to improve processes and reduce risk.

You will champion AI adoption, monitor KPIs and support onboarding and regulatory adherence across HTK functions to deliver accurate

Qualifications

• 5–7 years of supervisory experience in brokerage, trading, licensing, or compensation functions.
• FINRA Series 24 registration is 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

• 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.

Skills

Leadership

FINRA Series 24

Securities knowledge

Regulatory compliance

Analytical skills

Communication skills

Tools

Pershing NetX360

Envestnet

Job description

Penn Mutual Life Insurance Company in the United States is seeking an HTK Operations Manager of Trading, Licensing and Commissions to lead a team of trading specialists, licensing and compensation analysts. You will oversee daily trading desk operations, ensure compliance with regulations, and coordinate with internal partners to improve processes and reduce risk.

You will champion AI adoption, monitor KPIs and support onboarding and regulatory adherence across HTK functions to deliver accurate