Director, Supervision
Penn Mutual(2 months ago)
About this role
The HTK Director for Supervision Principals oversees the supervision function supporting registered representatives and investment advisor representatives, ensuring strong oversight and support for field leadership. The role serves as the FIS Protegent administrator, partnering with technology teams to maintain and enhance the surveillance platform through implementation, testing, configuration, and training. This position is based within a financial services organization focused on brokerage/RIA supervision and compliance oversight.
Required Skills
- Trade Supervision
- Suitability Review
- Best Interest Review
- RIA Compliance
- Broker-Dealer Compliance
- FIS Protegent
- Surveillance Monitoring
- Alert Management
- Investigations
- Audit Coordination
+8 more
Qualifications
- Bachelor’s Degree
- FINRA Series 7
- FINRA Series 24
- FINRA Series 66
- FINRA Series 53
- FINRA Series 4
- Life Insurance License
About Penn Mutual
pennmutual.comIt’s a beautiful thing, getting stronger — knowing you’ve protected the people you care about most.
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