Senior Operations Cashiering and Advisory Specialist

Job Description:

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

In this role, you will be responsible for processing all Broker-Dealer (BD) and Registered Investment Advisor (RIA) cashiering requests, as well as 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

• Process and provide on-going queue management for Cashiering and Advisory Ops
• 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
• Demonstrates a commitment to AI fluency by embracing AI tools and technologies to enhance individual and team performance, decision-making, and innovation

Skills and Abilities

• Strong analytical, organizational and time management skills
• Excellent customer service and communication abilities
• Ability to manage multiple priorities and work independently
• High attention to detail and professionalism in handling escalations
• Collaborative mindset and adaptability in a regulated environment
• Experience supporting financial professionals and resolving complex inquiries

Education & Work Experience

• Expert knowledge of Pershing NetX, Advice Pay, and Envestnet Platforms
• Bachelor's Degree Preferred or equivalent experience required
• 3-5 Years experience in a broker/dealer within operations
• FINRA SIE and Series 99 required or obtained with 12 months of hire
• Series 7 license preferred
• Knowledge and understanding of the financial services industry

Base Salary Range: $65,000 - $75,000

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.