Key Responsibilities:
•Manage and develop the HTK Trading, Commissions and Licensing team.
•Serve as an escalation point for questions involving complex inquiries.
•Identify opportunities to streamline and/or improve processes, close gaps, reduce risk, and enhance the employee, customer, or advisor experience.
•Ensure appropriate prioritization and handling of client orders in accordance with applicable regulations and firm policies.
•Maintain operational standards, procedures, documentation, escalation protocols, and approval criteria.
•Provide consultation and advice to our internal partners, financial professionals, and field offices as needed.
•Oversee compensation and contracting, licensing, registration (CLR) functions, ensuring compensation and financial professional records are complete, accurate, and executed timely.
•Monitor volumes, turnaround times, quality metrics, exceptions, and KPIs.
•Conduct quality reviews to identify trends, deficiencies, training needs, and control weaknesses.
•Support Transitions, new FP onboarding, demographic maintenance and regulatory adherence processes.
•Work closely with internal partners to resolve any issues that impact Field Compensation.
•Partner with Life and Annuity Services, Life and Annuity New Business, Payroll, Sales, Product, Actuary, Financial Distribution and various other internal partners.
•Serve as Key liaison between HTK and our field partners.
•Champion the use of AI technologies within the team, fostering a culture of innovation and continuous improvement.