Senior Regional Supervision Principal

Job Description:

The Senior Regional Supervising Principal (Senior RSP) plays a critical role in HTK’s supervisory hierarchy, overseeing the sales practices of approximately 250 Financial Professionals (FPs) across a designated region. This newly established role addresses regulatory requirements under FINRA Broker-Dealer standards and supports HTK’s evolving business model by providing a structured escalation pathway for day-to-day supervisory matters.

The Senior RSP will lead disciplinary issue resolution, conduct policy reinforcement training, and manage complex business-related requests requiring risk assessment and oversight planning. This role also supports enhanced data reporting and documentation processes, especially in preparation for HTK’s system upgrades in 2026. The position requires up to 50% travel annually, including in-person visits to one-third of assigned offices to proactively engage in risk mitigation.
Responsibilities
• Serve as the primary supervisory contact for assigned Financial Professionals
• Lead disciplinary issue resolution and policy reinforcement training
• Review and assess outside business activities and private securities transactions
• Conduct annual in-person office visits to support proactive risk mitigation
• Review and approve securities-related correspondence, electronic communications, and social media
• Support documentation and closure of trend reports in real time
• Collaborate on supervisory oversight design for complex business requests
• Assist in meetings and investigations as needed
• Provide training on company policies, trading operations, and regulatory requirements.
• Perform other related duties as assigned
• Ability to travel as needed
Experience
• 5+ years supervisory experience with a Broker/Dealer or RIA
• Excellent oral and written communication skills, with ability to present to senior leaders
• Skilled in relationship building and conflict resolution
• Proficient in Excel, Word, and PowerPoint
• Strong customer service orientation
• Detail-oriented with strong organizational and multitasking abilities
• Ability to influence and collaborate across teams
• Demonstrated ability to contribute to process improvements and learn new skills
Education/Licenses/Professional Designations
• Bachelor’s degree preferred
• FINRA Series 7, 24 required
• FINRA Series 53, 66 preferred
• Life Insurance license preferred
Skills and Abilities
• Deep understanding of securities and insurance regulations
• Independent judgment and leadership in supervisory matters
• Ability to manage escalated issues and make informed disciplinary recommendations
• Strategic thinking aligned with HTK’s evolving business model
Base Salary Range - $105,000 - $120,000

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.