Director, Supervision

Penn Mutual Life Insurance Company

Remote, United States
Base: $140,000 - $160,000; bonus/equity: not speci...
Fully remote
7+ years supervisory experience
Fis protegent surveillance platform proficiency
Finra series 7, 24, and 66 licenses
Penn Mutual Life Insurance Company is seeking a Director for Supervision, responsible for overseeing the activities of Registered Representatives and Investment Advisor Representatives. The role involves compliance supervision, collaboration with technology teams, and leadership responsibilities in a remote setting

Job Summary

  • The Director will supervise daily transactions and activities of Registered Representatives and Investment Advisor Representatives while ensuring compliance with securities regulations.
  • This role requires managing the FIS Protegent surveillance tool to monitor sales activities, perform suitability reviews, and maintain alert settings for various investment products.
  • Candidates must demonstrate strong leadership skills to manage team performance, distribute workloads, and collaborate with technology departments on system implementations.

Matching Summary

Match Score: 88

Penn Mutual Life Insurance Company is seeking a Director for Supervision, responsible for overseeing the activities of Registered Representatives and Investment Advisor Representatives. The role involves compliance supervision, collaboration with technology teams, and leadership responsibilities in a remote setting.

Salary

Base: $140,000 - $160,000; Bonus/Equity: Not specified; Benefits: Comprehensive suite of competitive products and services

Skills & Requirements

Must-have

  • 7+ years supervisory experience
  • FIS Protegent surveillance platform proficiency
  • FINRA Series 7, 24, and 66 licenses

Nice-to-have

  • Life Insurance license preferred
  • AI fluency and tool adoption
  • Strong relationship building skills

Key Requirements

  • Bachelor's degree preferred
  • FINRA Series 53 or 4 within 6 months
  • Broker/Dealer or RIA supervisory background

Work Rights

Not specified

Tailored Resume

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