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Regional Supervisory Principal - Broker Dealer

1 hour, 34 minutes ago
Anywhere
Full-time
Senior
Compliance Manager
Finance and Accounting
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 10

Description

  • Oversee registered representatives and investment adviser representatives for compliance with FINRA, SEC, and state regulations.
  • Review transactions, post-transaction new accounts, and client communications, including email and social media, for suitability and policy compliance.
  • Provide compliance guidance to financial professionals on regulatory issues, firm policies, and updates.
  • Conduct internal audits and branch examinations to evaluate supervisory controls and identify deficiencies.
  • Participate in the annual compliance review and prepare required reports.
  • Identify, monitor, and escalate sales practice concerns, conflicts of interest, and other high-risk activities.
  • Develop and deliver compliance training for new and existing staff.
  • Manage heightened supervision programs for representatives with disclosure events or escalated concerns.
  • Maintain supervisory documentation, ongoing oversight, and regular reporting to the Chief Compliance Officer.
  • Track supervisory metrics, analyze trends, and escalate systemic issues for corrective action.

Requirements

  • Bachelor’s degree in Business, Finance, or a related field.
  • 7–10 years of experience in compliance or supervisory roles within the financial services industry.
  • Experience working in both broker-dealer and RIA operations.
  • Strong knowledge of FINRA rules, SEC regulations, and state securities laws.
  • Experience supervising variable annuities, mutual funds, alternative investments, and retirement plans.
  • Excellent communication, interpersonal, and relationship-building skills.
  • FINRA Series 7 and Series 24 licenses are required.
  • FINRA SIE, Series 51, and Series 63/65 or 66 are preferred.
  • Ability to travel less than 25% of the year.

Benefits

  • Remote work location.
  • Salary range of $71,500.00 to $105,400.00.
  • Equal opportunity employment consideration regardless of protected status.
  • Access to a company with a national footprint and publicly traded status.
  • Opportunity to work in an organization focused on serving educators.

Interested in this position?

Apply directly on the company website

Apply Now

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