Service Professional (Annuities)
pennmutual
Director - HTK Operations
pennmutual· PML Penn Mutual Life Insurance Company
About this role
Job Description:
Hornor, Townsend & Kent (HTK), the broker-dealer and registered investment advisor subsidiary of Penn Mutual, operates a standalone Brokerage & Advisory Operations function and is seeking an experienced Director of Operations.
The Director of HTK Operations will be a key driver in shaping the strategic direction for our operational framework. The role will partner closely with key stakeholders to assess and develop people, processes, and technology in support of Financial Professionals and their clients.
Reporting directly to the VP HTK, the Director, HTK Operations will lead core broker-dealer and RIA back-office functions, including account opening and maintenance, trading support, cashiering, disbursements, suitability review, contact center operations, compensation, and field/advisor support.
Job Description
Own broker-dealer and RIA back-office operations: account onboarding, maintenance, new account review, trading support, cashiering, disbursements, ACATs/transfers, suitability, and field advisor support
Establish and enforce operational standards, SLAs, KPIs, and an operating cadence including capacity planning, escalation paths, and issue management
Oversee supervisory functions for new account review in partnership with the Compliance team, ensuring FINRA, SEC, and MSRB obligations are met
Provide regulatory and control oversight, ensuring compliance with FINRA, SEC, and MSRB; maintain strong procedures and readiness; lead exams and remediation efforts.
Collaborate with vendors (e.g., Pershing, DTCC, etc.) to improve platforms, integrations, data quality, and operational resiliency.
Coach and develop HTK team members and people leaders while building succession depth.
Identify and close significant procedural and control gaps that currently exist in the organization
Design and implement scalable, repeatable processes appropriate for a regulated broker-dealer environment
Lead regulatory exam readiness and remediation in coordination with Compliance and Risk
Lead the implementation of Docupace as the new account workflow, records (books and records), and straight-through processing tool — this is a committed, in-flight initiative
Collaborate with technology and vendor partners (e.g., Pershing, DTCC, investment platforms) to improve integrations, data quality, and system performance
Leverage data and analytics to drive decision-making and surface operational risk proactively
Knowledge, Skills and Abilities
Deep expertise in broker-dealer operations and regulatory frameworks (FINRA, SEC, MSRB).
Proven success leading operational transformation and technology modernization.
Strong strategic thinking, problem solving, communication, and stakeholder management skills.
Strategic, data-driven decision-maker with strong risk awareness.
Comfortable navigating ambiguity, driving change, and fostering innovation.
Excellent communication skills with ability to translate complex issues into clear insights.
Demonstrated ability to build and lead high-performing teams.
Education
Bachelor’s Degree is required.
FINRA Registrations: Series 65 and 24 required; Series 27 preferred.
Work Experience
10+ years leading teams and driving cross-functional initiatives
10+ years in life insurance, annuities, or financial services with a focus on agile delivery and digital transformation - required
Base Salary Range - $145,000 - $165,000
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.
Frequently Asked Questions
What is the salary for the Director - HTK Operations role at pennmutual?
The listed salary for this Director - HTK Operations position at pennmutual is USD 145K–165K. This is a remote Full time role.
Is the Director - HTK Operations job at pennmutual remote?
Yes, this Director - HTK Operations position at pennmutual is remote, with team members based in Remote - United States. You can work from home or anywhere in the supported regions.
Is the Director - HTK Operations role at pennmutual full-time or part-time?
This is listed as a Full time position. It is posted as a Director - HTK Operations role in the PML Penn Mutual Life Insurance Company department at pennmutual.
Which team or department does the Director - HTK Operations at pennmutual belong to?
This Director - HTK Operations position is part of the PML Penn Mutual Life Insurance Company department at pennmutual. See the full job description for more information about the team structure and responsibilities.
How do I apply for the Director - HTK Operations position at pennmutual?
Click the "Apply Now" button on this page. You will be redirected to pennmutual's official application portal hosted on workday where you can submit your application directly.
When was the Director - HTK Operations job at pennmutual posted?
This Director - HTK Operations position at pennmutual was posted on Aug 17, 2026. Apply as soon as possible — early applications are often reviewed first.
Director - HTK Operations
pennmutual · 💰 USD 145K–165K
You'll be redirected to pennmutual's official application page on Workday.