HTK Operations Manager - Suitability
This is the employer's own posting, not a copy on a job board.
What we know
Is it still open?
Confirmed still open
Last checked 17h ago — checked against the employer's own applicant tracking system, which is the company answering directly.
We re-read the employer's own applicant tracking system and the posting was still there. That is the company answering directly.
How old is it?
Posted 21d ago
The date the source published, not the day we noticed it (2026-09-11). Last seen at its source 1h ago.
We have tracked this listing since 24 Sep 2026 (7 days). The employer's own board has carried it every time we have read it, most recently 1 hour ago.
Is it remote?
The listing says yes
The location field doesn't say remote, so our assessment is based on the title or the description. Read the listing before applying.
Who may apply?
United States
The description states no restriction of its own. This is the source's own tag.
Pay
$115k–130k/yr
Read out of the job description by us, not from a structured field. Shown in the posting's own currency and period; we never convert.
Skills named in the ad
Recognised terms only, from a fixed vocabulary — this is what CV matching compares against.
Carried by 1 source
-
workday employer's own board first seen 7d ago · last seen 1h ago
- location not stated
The listing
Job Description:
Reporting directly to the VP of Operations for HTK, the HTK Operations Manager of Suitability is responsible for leading a team of registered principals who review, evaluate, and approve brokerage, advisory, mutual fund account, variable product applications and related account-opening activities. This role ensures that new accounts are established in accordance with firm policies, regulatory requirements, supervisory procedures, and applicable suitability standards.
Key Responsibilities:
•Manage and develop registered principals who review and approve brokerage and advisory account applications.
•Oversee new account application reviews for completeness, accuracy, appropriateness, and compliance.
•Provide oversight of account-opening decisions, including escalated, complex, or higher-risk applications.
•Ensure consistent application of suitability, supervisory, KYC/AML, and account-eligibility requirements.
•Maintain review standards, procedures, escalation protocols, and approval criteria.
•Partner with Operations, Compliance, Legal, and Risk to resolve account-opening issues.
•Promote AI adoption and continuous improvement within the team.
•Monitor application volumes, turnaround times, quality metrics, exceptions, and KPIs.
•Conduct QA reviews to identify trends, deficiencies, training needs, and control weaknesses.
•Serve as escalation point for complex customer, account, product, ownership, restriction, or suitability matters.
•Maintain supervisory controls and documentation for account approvals.
•Lead training for registered principals and account-opening personnel.
•Support regulatory exams, internal audits, compliance testing, and management reporting.
•Stay current on relevant securities regulations, FINRA rules, firm policies, and industry practices.
Required Qualifications:
•5-7 years of supervisory experience in broker-dealer or compliance function.
•FINRA Series 24 registration required.
•Strong knowledge of suitability, supervisory practices, and FINRA/SEC requirements.
•Ability to interpret regulations and firm policies for account-review decisions.
•Strong written and verbal communication skills.
Preferred Qualifications:
•Experience in broker-dealer, RIA, bank-affiliated brokerage, or regulated financial services.
•Experience with account-opening and suitability systems.
•Experience supporting regulatory exams or audits.
Base Salary Range - $115,000 - $130,000
For over 175 years, Penn Mutual has empowered individuals, families and businesses on the journey to achieve their financial goals. Through our partnership with Financial Professionals across the U.S., we help instill the confidence and reliability that comes from a stronger financial future. Penn Mutual and its affiliates offer a comprehensive suite of competitive products and services to meet the unique needs of Financial Professionals and their clients, including life insurance, annuities, wealth management and institutional asset management. To learn more, including current financial strength ratings, visit www.pennmutual.com.
Penn Mutual is committed to Equal Employment Opportunity (EEO). We provide employment and advancement opportunities to all qualified applicants and associates, according to applicable laws. This is reflected in our practices for hiring, placement, promotion, transfer, demotion, layoff, termination, recruitment, compensation, selection or training, and all other terms and conditions of employment. All employment-related decisions and practices are free from unlawful discrimination. This includes: race, creed, color, national origin, ancestry, citizenship age, gender (including pregnancy), sexual orientation, gender identity or expression, domestic partnership or civil union status, marital status, genetic information, disability, religious observance or practice, liability, veteran status or any other classification protected under applicable law.