Manager, HTK Operations

Job Description:

Position Overview

We are looking for a Manager, HTK Operations that will oversee the Operations team with regards to processing of new and existing accounts, trading, cashiering, and account transfers for our financial professionals, firms, and clients.  Responsibilities include Pershing and direct business, including brokerage and investment advisory.

We’ve embraced a flexible, hybrid approach to work. Based on your role and personal preference, we empower you to choose where you work best. This model allows you to balance your life and bring your whole self to work.

Responsibilities

• Provide leadership and oversee daily operations including, but not limited to, New Accounts, Transfers, cashiering, transfers and project work

• Lead and support various strategic and tactical projects related to operations including process improvements and technology projects/improvements.

• Ensure consistency and efficiency are delivered to financial professionals and clients

• Provide support for FINRA or other industry audits.

• Generate various data reports for regulatory exams involving account and trade information and ensure reports are accurate

• Communicate with financial professionals, clients, and firms on a daily basis, either via phone, or email

• Knowledgeable on all tools and applications related to Operations

• Lead a team of specialists and develop talent

• Build strong relationships with our internal partners, financial professionals,  and firm offices to facilitate a positive operations experience with HTK

• Provide consultation and advice to our internal partners, financial professionals, and field offices

• Facilitate continuous process improvement regarding operation processing and communicate strategy

• Promptly resolve and problem-solve escalated related issues

• Maintain vendor relationships (i.e. Pershing) and resolve related issues with vendors

• Stays current with the regulatory environment

• Provide project level support

• Perform other responsibilities as assigned

Skills and Abilities

• In depth knowledge of the financial services industry including securities regulations

• Excellent relationship building skills with all levels of associates and the ability to effectively resolve escalated operation related issues

• computer skills with a very strong working knowledge of Microsoft Office

• Excellent data analysis skills including the ability to uncover data discrepancies

• Excellent problem solving skills including the ability to solve problems using data

• Excellent attention to detail and the ability to identify errors

• Excellent planning and organization skills

• Strong written and verbal communication skills

• Strives to continuously learn and demonstrates strong ability to quickly adapt to a changing environment and regulatory requirements

• Excellent leadership skills and the ability to build a high performing team

• Demonstrates independent thinking and can successfully work independently on projects

• Demonstrates thought leadership and risk mitigation skills

• Outstanding customer service orientation with financial professionals, firm offices, internal customers and HTK clients.

• Ability to work with minimal supervision; self-starter that consistently demonstrates initiative

• Excellent organizational and planning skills with strong detail orientation; must be able to handle high volume of work and balance multiple daily responsibilities with longer range project work

Education & Experience

• Bachelor's Degree preferred

• FINRA SIE, Series 99, Series 7 and Series 24 licenses required

• Minimum of 10+ years of experience working in financial services, broker/dealer required

• Experience with regulatory examinations and interfacing directly with regulators required and

• Extensive experience providing regulatory agency reports (FINRA, SEC and other regulatory agencies) required and

• Expert knowledge Pershing NetX360 platforms strongly preferred

Salary Range: $105,000 - $120,000

All Penn Mutual employees exemplify our Shared Commitment:

Doing what’s right today, together, for the promise of a brighter tomorrow.
The feelings are mutual: Care. Respect. Belonging.

Penn Mutual is committed to Equal Employment Opportunity (EEO). We provide employment and advancement opportuniti