Horace Mann

Horace Mann, founded in 1945 and headquartered in Springfield, Illinois, is a financial services company that provides insurance and retirement solutions design

Director, Supervision – Broker Dealer

Location

United States

Posted

12 days ago

Salary

$105.2K - $148.0K / year

Seniority

Lead

Bachelor Degree10 yrs expEnglish

Job Description

Director, Supervision – Broker Dealer

Horace Mann

• Lead the broker-dealer supervisory program and ensure compliance with applicable laws, regulations, and firm policies. • Supervise, coach, and develop Regional Supervisory Principals, providing leadership and performance management. • Establish strategic objectives for the supervision function aligned with enterprise compliance goals. • Oversee supervisory activities, including new account approvals, trade reviews, variable annuity and insurance 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.

Job 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.

Benefits

  • Salary is commensurate to experience, location, etc.

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