Director - HTK Operations

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 Operationswill 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 developHTK team members and people leaderswhile 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 Compl