- 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 internal partners, financial professionals, and field offices
- 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 issues that impact Field Compensation
- Partner with Life and Annuity Services, Life and Annuity New Business, Payroll, Sales, Product, Actuary, Financial Distribution and other internal partners
- Serve as key liaison between HTK and field partners
- Champion the use of AI technologies within the team, fostering innovation and continuous improvement
Requirements
- 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
- Knowledge of Pershing NetX360 and Envestnet platforms
- Experience in broker-dealer, RIA, or regulated financial services
- Experience supporting regulatory exams or audits
Core Competencies
Demonstrates expertise in managing trading, commissions, and licensing operations while ensuring compliance with FINRA and SEC regulations. Proven ability to enhance processes, support regulatory adherence, and foster collaboration across financial services teams.
Highest-signal resume keywords
- Supervisory Experience
- FINRA Series 24 Registration
- Securities Industry Knowledge
- Analytical Skills
- Pershing NetX360 Knowledge
Hard Skills
- Trading Management
- Compensation Functions
- Regulatory Compliance
- Process Improvement
- Quality Review
- KPI Monitoring
- Client Order Handling
- Documentation Management
- Risk Reduction
- Financial Professional Records Management
Soft Skills
- Communication Skills
- Organizational Skills
- Attention to Detail
- Problem-Solving Skills
- Collaboration
Certifications & Qualifications
- FINRA Series 24
Industry Keywords
- Brokerage
- Trading
- Licensing
- Compensation
- Regulated Financial Services
- Investment Products
- FINRA
- SEC
- Broker-Dealer
- RIA
Tools & Technologies
- Pershing NetX360
- Envestnet
- AI Technologies
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Operations Manager – Trading, Licensing, Contracting, Commissions Arbeitgeber: Jobtailor
Als Front Office Supervisor in unserem dynamischen Team bieten wir Ihnen die Möglichkeit, in einem unterstützenden und freundlichen Arbeitsumfeld zu wachsen. Wir legen großen Wert auf die berufliche Entwicklung unserer Mitarbeiter und bieten regelmäßige Schulungen sowie die Chance, Verantwortung zu übernehmen. Unsere Lage ermöglicht es Ihnen, Teil einer lebendigen Gemeinschaft zu sein, während Sie gleichzeitig die Standards unseres Franchise-Partners einhalten und unseren Gästen einen unvergesslichen Aufenthalt bieten.
