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Dir Supervision - Broker Dealer

2 months, 2 weeks ago
Anywhere
Full-time
Executive
Compliance Manager
Operations
Apply Now
Horace Mann

Horace Mann

Horace Mann is the largest financial services company dedicated to helping educators and community servants achieve lifelong financial success. They offer a full range of tailored insurance and financial products, including auto, home, and life insuran...

Insurance
1K-5K
Founded 1945
View All Jobs 14

Description

  • Lead the broker-dealer supervisory program and ensure compliance with applicable laws, regulations, and firm policies.
  • Supervise, coach, and develop Regional Supervisory Principals and manage their performance.
  • Set strategic objectives for the supervision function aligned with enterprise compliance goals.
  • Oversee supervisory activities including new account approvals, trade reviews, product reviews, branch surveillance, and heightened supervision programs.
  • Maintain and enhance Written Supervisory Procedures (WSPs) and supervisory controls.
  • Identify emerging supervisory risks and implement monitoring programs and surveillance enhancements.
  • Lead regulatory examination preparation and coordinate responses to regulators and internal audit findings.
  • Prepare and present monthly and quarterly supervision reports to executive leadership.
  • Develop and deliver supervisory training for registered representatives, principals, and field leaders.
  • Foster a culture of compliance through effective communication, leadership, and continuous improvement.

Requirements

  • Bachelor's degree in Business, Finance, or a related field, or equivalent experience.
  • 10+ years of broker-dealer compliance and supervisory experience, including at least 5 years in a leadership role.
  • Strong knowledge of FINRA, SEC, and state securities regulations.
  • Experience supervising variable annuities, mutual funds, alternative investments, and retirement products.
  • FINRA SIE, Series 7, 24, 51, and 63/65 or 66 licenses required.
  • Proven leadership, communication, relationship management, and regulatory interaction skills.
  • Experience leading supervisory technology, surveillance, or workflow modernization initiatives (preferred).
  • Demonstrated ability to build and lead high-performing compliance teams in a regulated financial services environment (preferred).

Benefits

  • Remote work location.
  • Salary range of $105,200 to $147,950, commensurate with experience and location.
  • Opportunity to work for a publicly traded company with a national footprint.
  • Role supports a mission-focused organization serving educators and financial services clients.

Interested in this position?

Apply directly on the company website

Apply Now

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