$105,200–$147,950 Per Year
Brokerage, Coaching, Communication Skills, Continuous Improvement, Finance, Financial Services, Insurance, Internal Audit, Leadership, Maintain Compliance, Management Strategy, Mutual Funds, People Management, Performance Management, Product Reviews, Regulations, Regulatory Compliance, Regulatory Requirements, Relationship Management, Risk Analysis, Risk Management, Sales Management, Securities, Securities and Exchange Commission (SEC), Series 7, Set Goals, State Laws and Regulations, Strategic Planning, Surveillance, Training/Teaching, Variable Annuities
We're motivated by the fact that educators take care of our children's future, and we believe they deserve someone to look after theirs. We help educators identify their financial goals and develop plans to achieve them. This includes insurance to protect what they have today and financial products to help them prepare for their future."> Dir Supervision - Broker Dealer-Horace Mann-Remote
Dir Supervision - Broker Dealer
We're motivated by the fact that educators take care of our children's future, and we believe they deserve someone to look after theirs. We help educators identify their financial goals and develop plans to achieve them. This includes insurance to protect what they have today and financial products to help them prepare for their future.
Remote
Horace Mann
We're motivated by the fact that educators take care of our children's future, and we believe they deserve someone to look after theirs. We help educators identify their financial goals and develop plans to achieve them. This includes insurance to protect what they have today and financial products to help them prepare for their future. Our tailored offerings include special rates and benefits for educators.
https://boards.greenhouse.io/horacemannservicecorporation
keywords: position summary,leadership,strategy,performance,education,experience,knowledge,certification
Compliance
$105,200.00 - $147,950.00
Overview: Leads the firm's broker-dealer supervisory program, ensuring compliance with FINRA, SEC, and state regulatory requirements. Oversees regional supervisory principals, drives supervisory strategy, enhances surveillance programs, and partners with Compliance leadership to maintain a strong culture of regulatory compliance and risk management. Entity of type com.vizirecruiter.common.domain.model.Label with id: 7159
Responsibilities:
- 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.
Entity of type com.vizirecruiter.common.domain.model.Label with id: 295 Entity of type com.vizirecruiter.common.domain.model.Label with id: 459 Entity of type com.vizirecruiter.common.domain.model.Label with id: 362
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.
Preferred Qualifications
- Experience leading supervisory technology, surveillance, or workflow modernization initiatives.
- Demonstrated ability to build and lead high-performing compliance teams in a regulated financial services environment.
Entity of type com.vizirecruiter.common.domain.model.Label with id: 163 Entity of type com.vizirecruiter.common.domain.model.Label with id: 553 Entity of type com.vizirecruiter.common.domain.model.Label with id: 287 Entity of type com.vizirecruiter.common.domain.model.Label with id: 580
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Horace Mann Educators Corp