Senior Trade Support Specialist

Job Description:

We are looking for a Senior Trade Support Specialist to join our HTK team.        
We have 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.

The Senior Trade Support Specialist provides high-level operational and trading support and plays a critical role in supporting the trading activities of our Financial Professionals, Field Leaders, and internal partners. This role ensures timely and accurate execution, approval, and oversight of equity, options, fixed income, and mutual fund trades while serving as a subject matter expert for Pershing trading processes, providing expert-level support, managing complex inquiries, and serving as a key liaison between HTK, Pershing, and our field partners.

The Specialist manages escalated issues, supports corporate actions and disbursements, monitors risk and debit balances, and plays an active role in process improvement and cross-department collaboration. The ideal candidate is highly analytical, detail-oriented, and confident operating in a fast-paced, risk‑sensitive environment.

Job Responsibilities

• Provide support to financial professionals, field leaders, and internal teams in an efficient and accurate manner 
• Execute, review, and approve equity, option, fixed income, and mutual fund trades via the Pershing platform 
• Provide real-time equity quotes, fixed income inventory details, and market information to Financial Professionals
• Support trade reviews, corrections, option activity, and corporate actions as needed.
• Review daily reports and monitor debit balances to ensure compliance with firm and regulatory guidelines.
• Review and approve disbursements with strong attention to controls and risk mitigation.
• Address and resolve complex and escalated trading inquiries efficiently and professionally.
• Maintain and update desktop procedures and documentation to ensure operational integrity.
• Serve as a primary point of contact and liaison between Pershing, HTK Operations, and Financial Professionals for trade-related questions and issue resolution.
• Communicate clearly and proactively with internal partners and leadership regarding trading activity, trends, and exceptions.
• Represent HTK Operations in departmental meetings and provide subject matter expertise as needed.
• Contribute to department-level initiatives, operational projects, and technology enhancements.
• Identify opportunities to streamline processes and elevate the financial professional experience.
• Other projects and duties as assigned 

Skills and Abilities

• Strong customer service orientation with the ability to support high-volume, time-sensitive requests.
• Excellent organizational skills and attention to detail
• Strong analytical and problem-solving abilities; able to identify issues beyond the obvious
• Ability to recommend and implement process improvements
• Solid risk awareness and the ability to apply regulatory and supervisory requirements
• Strong relationship-building and cross-team collaboration skills
• Maintain accurate desktop procedures and documentation standards
• Knowledge and understanding of the financial services industry and market trading practices 
• Highly resourceful with the ability to look beyond the obvious 
• Excellent organizational, analytical, and problem solving skills.
• Proficiency in Microsoft Excel, Word, and familiarity with Pershing systems and trading platforms.
• Resourceful and proactive thinker able to look beyond surface-level issues.
• Strong written and verbal communication skills with the ability to explain complex information clearly.
• Ability to collaborate effectively across teams while also working independently with sound judgment.

Education and Work Experience

• Bachelor’s degree or equivalent professional experience preferred

• 3–5 years of financial services experience, including trading desk or brokerage operations
• FINRA Series 7, 24, and 53 required
• Series 4 preferred
• Experience with Pershing products, operational procedures, and NetX is strongly preferred.

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.