Operations Manager – Trading, Licensing, Contracting, Commissions

This is a fully remote position, open to applicants in United States.

📋 Description

• Oversee and cultivate the HTK Trading, Commissions, and Licensing team.

• Act as a point of escalation for inquiries involving complex issues.

• Recognize opportunities to optimize and enhance processes, close gaps, mitigate risks, and improve the experiences of employees, customers, and advisors.

• Ensure timely prioritization and management of client orders in compliance with relevant regulations and company policies.

• Maintain operational standards, procedures, documentation, escalation processes, and approval guidelines.

• Offer guidance and support to internal stakeholders, financial professionals, and field offices.

• Supervise compensation and contracting, licensing, and registration (CLR) functions, ensuring that compensation and financial professional records are complete, accurate, and processed promptly.

• Track volumes, turnaround times, quality metrics, exceptions, and key performance indicators (KPIs).

• Conduct quality assessments to identify trends, shortcomings, training requirements, and control weaknesses.

• Assist with transitions, onboarding of new financial professionals, demographic updates, and adherence to regulatory processes.

• Collaborate closely with internal partners to address issues affecting Field Compensation.

• Partner with Life and Annuity Services, Life and Annuity New Business, Payroll, Sales, Product, Actuary, Financial Distribution, and additional internal collaborators.

• Act as a primary liaison between HTK and field partners.

• Advocate for the integration of AI technologies within the team, promoting innovation and ongoing enhancement.

⛳️ Requirements

• 5-7 years of supervisory experience in brokerage, trading, licensing, or compensation-related roles.

• FINRA Series 24 registration is mandatory.

• Comprehensive knowledge of the securities industry, trade execution, investment products, and FINRA/SEC regulations.

• Exceptional analytical and organizational capabilities with a keen eye for detail.

• Strong written and verbal communication skills.

• Familiarity with Pershing NetX360 and Envestnet platforms.

• Experience in broker-dealer, RIA, or regulated financial services sectors.

• Background in supporting regulatory examinations or audits.

🏝️ Benefits

• Competitive salary and performance-based bonuses.

• Comprehensive health benefits package.

• Opportunities for professional development and continuing education.

• Flexible work schedule and remote work options.

• Employee wellness programs and resources.