Operations Cashiering and Advisory Team Leader

We are seeking an experienced Operations Cashiering and Advisory Team Leader to join our growing team at Penn Mutual.

In this role, you will be responsible for overseeing all Broker-Dealer (BD) and Registered Investment Advisor (RIA) cashiering processes, as well as managing Envestnet and financial planning operations for Hornor, Townsend & Kent (HTK). You will collaborate closely with the Operations Manager to support day-to-day operations, address inquiries, and handle escalations. Additionally, you’ll ensure the delivery of prompt, accurate, and efficient service to our Financial Professionals and Field Offices.

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.

Job Responsibility

• Oversee, provide on-going leadership, and queue management for Cashiering and Advisory Ops Teams
• Lead a team of specialists and develop talent
• Maintain vendor relationships (i.e., Pershing and Envestnet) and resolve related issues with vendors
• Provides on-going support related to advisory accounts
• Recommend and facilitate process changes to continuously improve the customer experience
• Provides support for Field Office staff, Field Office support staff, and our Financial Professionals
• Takes lead in handling processing queues for the advisory platform and all cashiering queues
• Successfully completes regulatory and job training requirements
• Handles simple to complex emails or calls from our clients/ financial professionals
• Accepts ownership of interaction and provide a high caliber of service and follow through escalating complex issues as appropriate
• Maintains field contact while researching, resolving, and communicating case-specific situations and coordinates problem resolution
• Communicate with the field daily, either via phone, email or in person
• Adheres to service level of agreement (SLA) and individual/ team metrics
• Handle Envestnet Billing for Quarterly fees
• Processing of Financial Planning Fees
• Provide dedicated support via phone and e-mail to HTK Financial Professionals and Field Management in an efficient and accurate manner
• Provide project level support as needed
• Detailed NetX and Envestnet platform knowledge
• Complies with all company and site policies and procedures
• Remains current in profession and industry trends
• Successfully completes regulatory and job training requirements
• Performs other duties as assigned

Knowledge, Skills, and Abilities

• Excellent organization and communication skills
• Strong data entry skills
• Working knowledge of Microsoft Excel
• Knowledge and understanding of the financial services industry
• Highly resourceful with the ability to look beyond the obvious
• Excellent relationship and collaborative skills
• Detail-oriented
• Demonstrates independent thinking
• Ability to make a positive contribution as demonstrated by learning new skills and making suggestions for process/procedure improvement
• Ability to work with others in a collaborative team environment
• Ability to work with minimal supervision; self-starter that consistently demonstrates initiative
• Strong computer skills including advanced knowledge of Excel and operating systems
• Outstanding customer service orientation with HTK financial professionals and clients
• Excellent organizational, planning and organizing skills with strong detail orientation; must be able to handle a high volume of work and balance multiple daily responsibilities with longer range project work
• Excellent written and verbal communication skills

Education & Work Experience

• Bachelor's Degree Preferred or equivalent experience required
• 5-7 Years experience in a broker/dealer within operations
• FINRA SIE, Series 99 and Series 7 license required
• FINRA Series 24 preferred
• Knowledge and understanding of the financial services industry
• Expert knowledge of Pershing NetX, Advice Pay, and Envestnet Platforms