Horace Mann
Regional Supervisory Principal - Broker Dealer
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Job Description
- Req#: 5733488004
Employer Industry: Financial Services
Why consider this job opportunity:
- Salary range up to $105,400.00
- Opportunity for career advancement and growth within the organization
- Work remotely with the flexibility of managing your own schedule
- Supportive and collaborative work environment focused on compliance and risk management
- Chance to make a positive impact on the financial services industry by ensuring adherence to regulations
What to Expect (Job Responsibilities):
- Oversee and review the activities of registered representatives and investment adviser representatives for compliance with regulatory requirements
- Conduct daily, weekly, and periodic reviews of transactions and client correspondence for suitability and compliance
- Provide guidance on complex compliance issues and regulatory updates to financial professionals
- Conduct internal audits and branch examinations to assess supervisory controls
- Develop and deliver compliance training programs for staff to ensure understanding of regulatory obligations
What is Required (Qualifications):
- Bachelor’s degree in Business, Finance, or a related field (or equivalent experience)
- 7–10 years of experience in a compliance or supervisory role within the financial services industry
- Strong knowledge of FINRA rules, SEC regulations, and state securities laws
- Required licenses: FINRA Series 7, 24
- Excellent communication, interpersonal, and relationship-building skills
How to Stand Out (Preferred Qualifications):
- Preferred licenses: FINRA SIE, Series 51, 63/65 or 66
- Experience supervising variable annuities, mutual funds, alternative investments, and retirement plans
#FinancialServices #Compliance #RemoteWork #CareerGrowth #JobOpportunity
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We are not the EOR (Employer of Record) for this position. Our role in this specific opportunity is to connect outstanding candidates with a top-tier employer.About the company
Horace Mann is an Illinois-based auto, property, and life insurance, as well as financial services company that focuses on retirement annuities and mutual funds.
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