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Dir Supervision - Broker Dealer

Horace Mann

Role overview

Qualifications

  • 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
  • FINRA SIE, Series 7, 24, 51, and 63/65 or 66 licenses required

Responsibilities

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

About the company

Horace Mann logo

Horace Mann

Insurance

Horace Mann was founded in 1945 by two educators in Springfield, Ill., who believed teachers deserved affordable auto insurance. Originally called the Illinois Education Association Mutual Insurance Company, our name was changed to honor the father of the American public education system, Horace Mann. We are proud to share his name. At Horace Mann, the hard work, commitment and dedication of our employees are the foundation of our success. And today we are the largest, national multiline insurance company dedicated to serving America’s educators and their families. Our purpose is to provide lifelong financial well-being for educators and their families through personalized service, advice, and a full range of tailored insurance and financial products. Through our professional agents and their staff, we offer insurance and financial products to the educational community across the United States. Horace Mann offers auto, homeowners and life insurance, retirement annuities, and other financial solutions to educators and their families. We also proudly support our nation’s educators through recognition programs and classroom funding opportunities through DonorsChoose.org. If you respect the teaching community and feel you can help us take care of educators'​ futures, choose the path you’d like to explore at http://www.horacemann.com/about-us/careers.

Company details

Company typeLarge
IndustryInsurance
Company size1001 - 5000

Links

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Job description

Job Title: Director, Supervision – Broker Dealer

Location: Remote 

Position Summary

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. 

Key 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. 

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.

 

Salary Range - $105,200.00 - $147,950.00

  • Salary is commensurate to experience, location, etc.

Horace Mann was founded in 1945 by two Springfield, Illinois, teachers who saw a need for quality, affordable auto insurance for teachers. Since then, we’ve broadened our mission to helping all educators protect what they have today and prepare for a successful tomorrow.  And with our broadened mission has come corporate growth:  We serve more than 4,100 school districts nationwide, we’re publicly traded on the New York Stock Exchange (symbol: HMN) and we have more than $12 billion in assets.

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.

EOE/Minorities/Females/Veterans/Disabled. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or protected veteran status

For applicants that are California residents, please review our California Consumer Privacy Notice

All applicants should review our Horace Mann Privacy Policy

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Marcus Rivera

Chief Revenue Officer

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