Senior Product Owner/Manager - Broker-Dealer & RIA

The Senior Product Owner– Broker-Dealer & RIA Operations works with business and technical partners at all levels to define and implement the vision and roadmap for our broker-dealer and registered investment advisor operations.  This role partners closely with business leaders, distribution, operations, regulatory/compliance, enterprise architecture, and engineering to deliver high quality solutions that support strategic business outcomes. This role provides vision, leadership, and disciplined execution across the full product lifecycle—from ideation and design through delivery, release, optimization, and continuous improvement.   

Responsibilities:  

• Product Vision & Strategy - Own and communicate the product vision, strategy, and roadmap for core BD/RIA platforms (e.g., brokerage and advisory workstations, account onboarding, compensation, trade surveillance, , data/integration services). 

• Stakeholder & Regulatory Partnership - Serve as the primary liaison between product teams and BD/RIA stakeholders, including advisors, supervision, compliance, legal, operations, and technology. Integrate SEC, FINRA, and state regulatory requirements into product prioritization and solution delivery.  

• Backlog Ownership & Delivery - Act as the single owner of the product backlog, ensuring work is clearly defined, prioritized, and sequenced based on business value, risk, and dependencies.  Translate business and regulatory requirements into epics, user stories, and acceptance criteria suitable for Agile teams. Support sprint planning, backlog refinement, reviews, and release planning.  

• Discovery, Insights & Continuous Improvement - Lead discovery activities to validate needs using research, analytics, and operational feedback. Monitor product performance and usage data to drive continuous improvement and backlog reprioritization.  

• Team Management and Cross-Functional Collaboration - Lead cross functional teams, fostering an environment of trust, collaboration, and continuous improvement. Partner with business product management, IT operations, and key stakeholders to translate business needs into technical solutions. 

• MVP Definition and Project Delivery - Oversee the full application development lifecycle—from ideation to deployment—ensuring projects are delivered on time, within scope, and on budget.  Determine and articulate Minimum Viable Product: that is, identify those portions of an overall vision that are minimally necessary to achieve Penn Mutual’s objectives. Facilitate trade‑off decisions transparently across experience, compliance, cost, and delivery timelines. 

• Vendor Management: Evaluate, select, and manage external partners to deliver critical features and services.  

• Customer-centric Focus: Drive a culture of excellence centered on customer needs, rigorous testing, and flawless execution.  

• Executive Communication: Present priorities and progress to senior leadership, ensuring alignment with organizational objectives. Manage reporting and updates on a team and project level.  

Minimum Qualifications 

• 10+ years relevant experience in broker-dealer/RIA operations and/or financial services leading teams, driving initiatives forward, and working with various levels and functions across an organization. 

• Background in data structures, quality management, orchestration, governance, etc.  

• Experience working with business partners, external service providers, software developers and engineers, with a strong ability to translate product requirements succinctly and ensure technology deliverables are built with high quality. 

• Demonstrated experience working in broker-dealer/RIA, wealth management, or capital markets environments 

• Experience supporting advisor-facing and back-office platforms in broker-dealer/RIA environments, including account onboarding (CIP/KYC), supervision and surveillance workflows, compensation, and financial data services 

• Strong understanding of regulated financial services and the role of compliance, supervision, and risk in product design. 

• Exceptional ability to manage maintenance and creation of documentation and visualizations, as they relate to project deliverables.  

• Firm understanding of Agile product development and strong Jira management.  

• Ability to work under pressure and adapt quickly in an environment with evolving business demands.  

• Experience with leading multiple projects and advising senior leadership is desirable.  

• Excellent organizational skills and attention to detail with the ability to manage multiple priorities and meet established deadlines.  

• Strong verbal and written communication skills with the ability to interact with all levels of staff and management.  

Competencies:  

• Customer Service: Exceptional attitude and a passion for providing outstanding service to internal and external customers.  

• Attention to Detail:  Thoroughness in accomplishing a task through concern for all the areas involved, no matter how small. Monitors and checks work or information and plans and organizes time and resources efficiently  

• Analytical Skills: Collects and researches data; Designs workflows and procedures; Identifies data relationships and dependencies.   

• Communications: Exhibits good listening and comprehension. Expresses ideas and thoughts in verbal and written form. Keeps others adequately informed. Selects and uses appropriate communication methods.    

• Problem Solving: Ability to solve issues efficiently and quickly.    

• Relationship Management: Manages interactions to service and support to the organization; establishes credibility with all interactions.  

• Teamwork: Contributes to building a positive team spirit. Exhibits objectivity and openness to others' views. 

Base Salary Range - $130,000 - $140,000