Dir Supervision - Broker Dealer

1 month, 4 weeks ago
Full-time
Executive
Operations
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

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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