Field Supervision Specialist
The Field Supervision Specialist (FSS) is responsible for supervising the daily actives of Registered Representatives and Investment Advisor Representatives and providing ongoing support to advisors and Field Leadership. This individual must be proficient in the processes and procedures that relate to the compliance/supervision functions within the office and must possess strong leadership skills and the ability to work independently.
Hornor, Townsend & Kent, Inc. (HTK) is a wholly owned broker/dealer subsidiary of Penn Mutual, with access to a full range of registered investment products and services, including mutual funds, stocks, bonds, variable life insurance products and annuities. HTK supports its representatives with a highly trained staff who are dedicated to providing the resources needed to help them meet their clients’ financial goals.
- Provide training and education on company policies and procedures; trading and operations, state insurance and securities regulations, and FINRA/SEC rules and regulations
- Supervise sales activities of assigned registered representatives including the review of daily trade activity and performing suitability reviews for all investment sales including stocks, bonds, mutual funds, ETFs and Annuities.
- Perform initial reviews of outside business activities and private securities transactions
- Perform an initial review of advertising and sales literature
- Review and approve securities related correspondence
- Review and approve electronic communications and social media
- Assist in Field related investigations as needed/requested
- Review RR responses to annual compliance and outside business activity questionnaires
- Document RR activity and issues and provide monthly report to Field Leadership
- Perform other related duties as assigned
- Ability to travel as needed
- Must have excellent oral and written communication skills and the ability to communicate and present to senior leaders
- Experienced and skilled at relationship building
- Adept at technology and proficient in Excel, Word, and PowerPoint
- Excellent customer service orientation
- Strong organizational skills and ability to multitask
- Detail oriented
- Ability to influence others
- Ability to collaborate with others and work in a team environment
- Ability to make a positive contribution as demonstrated by learning new skills and making suggestions for process/procedure improvement
- 3-5 years supervisory experience with a Broker/Dealer or RIA.
- Working knowledge and understanding of rules and regulations related to securities and insurance industries
- Bachelor’s degree preferred
- FINRA Series 7, 24 required
- FINRA Series 53, 66 preferred
- Life Insurance license preferred
Salary Level = 20/21
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.