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Job Description:
The HTK, Training Principal serves as the strategic training, performance, workforce capability, operational readiness, and knowledge management partner for HTK Operations. This role partners with business and cross-functional leaders to identify capability gaps, establish solutions, and improve employee readiness and operational performance.
The ideal candidate brings deep Broker Dealer and/or Registered Investment Adviser experience and expertise in training strategy, performance consulting, change readiness, and knowledge management. This role supports operational functions including New Accounts, Cashiering, Trading, Commissions, Licensing, Operations Controls, and related business areas.
Key Responsibilities
Develop training, performance and readiness strategies aligned with HTK Operations business, technology, regulatory and workforce priorities.
Serve as a trusted advisor to leaders by diagnosing performance and capability needs and recommending solutions that address people, process, knowledge, technology, and training factors.
Lead readiness for technology and workflow changes, including role-impact assessments, learning approaches, pilots, rollout support, measurement and sustainment.
Design and continuously improve structured onboarding and workforce readiness programs that accelerate time to proficiency and support business continuity through role-based learning plans, systems training, regulatory education, proficiency assessments, cross-training, and reinforcement activities.
Apply and reinforce established knowledge management and Shelf governance standards to ensure content remains accurate, current, searchable, and user-friendly.
Partner with Operations and Quality to identify performance trends, errors, audit findings, and risks; determine improvement actions and evaluate effectiveness.
Lead complex cross-functional initiatives, influence stakeholders without direct authority, and communicate priorities, risks, decisions, and outcomes.
Use Microsoft 365, learning technologies, and AI-enabled tools to improve training, content, analysis, and knowledge management.
Qualifications
Bachelor's degree in business, Education, Organizational Development, Instructional Design, Financial Services, or a related field; equivalent education and experience may be considered.
7+ years of relevant training, performance consulting, organizational development, operational readiness, knowledge management, or related experience.
7+ years of Broker-Dealer and/or RIA experience with knowledge of brokerage operations such as New Accounts, Cashiering, Trading, Commissions, Licensing, Operations Controls, advisor support or supervision.
Demonstrated success developing and leading training, performance, operational readiness, change management, and knowledge management initiatives that improve employee performance and business outcomes.
Experience assessing performance and capability gaps, using data and business insights to recommend training, coaching, process, communication, knowledge management, or performance support solutions.
Strong relationship building, instructional design, facilitation, adult-learning, consulting, communication, analytical, influencing, and project-management skills; ability to independently manage multiple priorities.
Advanced proficiency with Microsoft 365 applications, learning technologies such as Articulate 360, and AI-enabled tools, with the ability to apply technology responsibly and maintain appropriate governance and quality controls.
Preferred Experience with Docupace, NetX360, Envestnet, HUB, FIS, or comparable financial services platforms.
Experience supporting Broker-Dealer or Registered Investment Adviser operations; financial services licenses (e.g., Series 7, 63, 65, or comparable licenses) are a plus.
Base Salary Range: $100,000 - $125,000
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.
Penn Mutual is committed toEqual 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.