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
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.
Related Guides
Related Categories
Related Job Pages
More Broker Jobs
• Represent buyers and sellers in the purchase and sale of yachts and boats. • Build and maintain relationships with clients, boatyards, marinas, and industry professionals. • Evaluate and list vessels with detailed specifications, photos, and market insights. • Negotiate and close sales contracts while ensuring client satisfaction. • Stay updated on market trends, pricing, and competitive listings. • Utilize provided tools, including MLS access, appraisal services, marketing resources, and lead management platforms.
Private Jet Charter Broker, Experienced
Thrust AviationThrust Aviation is an air charter broker that is built on 35+ years of combined experience.
• Manage and grow your own portfolio of private charter clients • Respond to inbound leads and re-engage past prospects • Close charter trips with support from our full-service operations team • Maintain organized pipeline activity within our CRM • Identify cross-sell opportunities across our other service lines • Represent Thrust Aviation with professionalism, discretion, and high-touch service
• Consult with clients to understand their travel objectives, preferences, and expectations, delivering bespoke aviation solutions • Source and evaluate optimal aircraft options, crafting tailored charter proposals that meet client requirements and exceed expectations. • Negotiate pricing and terms with operators to ensure maximum value while upholding the company’s commitment to quality and safety. • Oversee the entire charter process from inquiry to quoting, contract negotiation, and flight management • Cultivate and maintain long-term relationships with both clients and operator partners, ensuring trust, satisfaction, and repeat business. • Proactively generate new business leads through strategic outreach, referrals, networking events, and industry platforms. • Manage client accounts, maintaining up-to-date records, quotes, and interactions within the company’s CRM system. • Collaborate with internal teams to ensure smooth communication, flawless execution, and continuous improvement in client experience.
Broker
Jimcor AgenciesA Different Wholesale Experience. Celebrating Family Values, Independence & Innovation.
• Develop client relationships to generate submission opportunities and a regular flow of business • Review submission documents received to prepare additional information including; loss pics/summaries, loss stratifications, risk summaries, narratives, online research and requesting additional information needed from the client • Select and market the risk, by line of coverage, to markets to negotiate terms & pricing • Provide comparisons and illustrations to compare options and support client presentation process • Utilizes knowledge of automated systems to develop information for new or renewal policies • Prepares quotations for agents and answers inquiries from agents, policyholder, or prospects • Reviews requests for cancellation, endorsements, etc. • Reviews policies for renewal consideration and remarketing • Request additional documentation necessary for the processing of an application, endorsement or cancellation • Conduct marketing visits to agents and attend industry events • Work with support associates, assistants and central processing to assure work is completed in a timely manor and with accuracy • This may include mentorship and guidance of the team member working with you on risks • Performs other duties as assigned



