Director, Supervision – Broker Dealer

🔥 0 minutes ago

🇺🇸 United States – Remote

💵 $105.2k - $147.9k / year

⏰ Full Time

🟠 Senior

🔴 Lead

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

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Horace Mann

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 1945

💸 Finance

📚 Education

Insurance • Finance • Education

Horace Mann is a company that provides comprehensive insurance and financial solutions tailored for educators and public sector workers. The company offers a wide range of insurance options including auto, home, renters, liability, life, and supplemental insurance. In addition to insurance, Horace Mann provides retirement and financial strategies, such as 529 College Savings Plans, investment management, and student loan solutions designed specifically to help educators. They are committed to supporting educators through various programs, workshops, webinars, and partnership initiatives that aid in professional and personal financial wellness. Horace Mann is recognized for its strong financial stability and ethical governance practices, ensuring security and privacy for its nearly one million educator clients across the nation.

📋 Description

• 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.

🎯 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.