Lead Operations Manager, Suitability & Account Approvals
Listed on 2026-09-29
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Management
Regulatory Compliance Specialist, Operations Management, Risk Manager/Analyst
Penn Mutual seeks an HTK Operations Manager of Suitability to lead a team of registered principals who review brokerage and advisory applications for account openings in line with firm policies and regulatory standards. You will oversee reviews, escalate complex cases, and ensure KYC/AML and suitability controls are consistently applied.
The role requires FINRA Series 24, 5–7 years of supervisory experience, and strong communication skills. BASE salary range: $115,000–$130,000.
The following position is for a Lead Operations Manager, Suitability & Account Approvals with Penn Mutual.
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