HTK Compliance Manager

Job Description:

The Compliance Manager for Hornor, Townsend & Kent, a broker dealer and registered investment adviser of The Penn Mutual Life Insurance Company (collectively “the Company”) will be responsible for supporting a variety of areas as it relates to Compliance.
We’ve embraced a flexible, hybrid approach to work. Based on your role and personal preference, we empower you to choose where you work best. This model allows you to balance your life and bring your whole self to work.
Responsibilities

• Knowledge of federal and state regulatory, ethics, and compliance-related issues, and familiarity with applicable regulatory schemes and federal sentencing guidelines
• Oversee all aspects of compliance functions to ensure the highest compliance standards are implemented and upheld by HTKs financial professionals
• Assist with retail BD platform design and implementation
• Lead annual and ad hoc Form ADV filing/updating
• Maintain risk assessments and conduct associated FINRA Rule 3130 testing
• Build effective working relationships with business unit management by researching questions or handling compliance related issues as they arise and escalating when appropriate.
• Assist in regulatory examinations or inquiries, as needed.
• Resolve problems, communicate and disseminate information to multiple company departments.
• Perform general compliance duties or special projects as assigned by the ACCO.
• Remains current in profession and industry trends.

Experience

• 5-10 years of compliance, regulatory or supervision experience
• Experience leading projects or teams related to broker dealer or investment advisory activities

• Experience in dealing with government enforcement agencies on behalf of corporate entities

• Strong competency in utilizing Microsoft applications, particularly Excel, or other database tools, as needed

Education/Licenses

• Series 7, 63 and 65 (or 66), and 24 securities’ registrations
• Familiarity with rules under FINRA/SEC and state insurance department regulations
• Knowledge of SEC and state investment advisory regulations
• College Degree or equivalent work experience required

Salary Range: $110,000 - $120,000

All Penn Mutual employees exemplify our Shared Commitment:
Doing what’s right today, together, for the promise of a brighter tomorrow.
The feelings are mutual: Care. Respect. Belonging.
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. Leaders may, at their discretion, change the responsibilities in this position description at any time due to reasonable accommodation and/or other business reasons.
About the Penn Mutual Life Insurance Company
Penn Mutual helps people become stronger. Our expertly crafted life insurance is vital to long-term financial health and strengthens people’s ability to enjoy every day. Working with our trusted network of financial professionals, we take the long view, building customized solutions for individuals, their families, and their businesses. We support our financial professionals with retirement and investment services through our wholly owned subsidiary, Hornor, Townsend & Kent, LLC, member FINRA/SIPC.
About HTK
Hornor, Townsend & Kent, LLC (HTK) is a broker-dealer and registered investment adviser supporting independent financial professionals across the U.S. For more than 50 years, HTK has been the trusted partner supporting financial professionals on their path to success. HTK is committed to offering its financial professionals the independence to build their practice their way through the delivery of a flexible platform, leading solutions and personalized service. Hornor, Townsend & Kent, LLC (HTK) is a wholly-owned subsidiary of The Penn Mutual Life Insurance Company. Member FINRA/SIPC. Visit www.htk.com.
 

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.