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Horace Mann · 1 month ago

Regional Supervisory Principal - Broker Dealer

United States

Full-time

Remote

Senior Level, Lead/Staff

$72K/yr - $105K/yr

7+ years exp

Horace Mann Service Corporation is a company dedicated to helping educators protect their financial future. The Regional Supervisory Principal is responsible for overseeing compliance and supervision of registered representatives, ensuring adherence to regulatory requirements while providing critical guidance and support in a financial services environment.

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Responsibilities

Oversee and review the activities of registered representatives and investment adviser representatives for compliance with FINRA, SEC, and state regulations

Conduct daily, weekly, and periodic reviews of transactions, new accounts (post-transaction), and client correspondence—including email and social media—for suitability and compliance with firm policies

Provide guidance and support to financial professionals on complex compliance issues, firm policies, and regulatory updates

Conduct internal audits and branch examinations to assess supervisory controls and identify potential deficiencies

Participate in the firm’s annual compliance review and assist with preparation of required reports

Identify, monitor, and escalate potential sales practice concerns, conflicts of interest, and other high-risk activities

Develop and deliver compliance training programs for new and existing staff to ensure understanding of regulatory obligations

Manage heightened supervision programs for representatives with disclosure events or escalated concerns

Document supervisory plans and maintain ongoing oversight of supervised individuals

Provide regular supervision reports and updates to the Chief Compliance Officer (CCO)

Track supervisory metrics, analyze trends, and escalate systemic issues for corrective action

Stay current on changes to federal and state securities laws and communicate updates to firm leadership and personnel

Apply strong analytical, problem-solving, and risk-assessment skills to anticipate potential issues

Demonstrate deep knowledge of FINRA, SEC, and state securities regulations as applicable to registered representatives and investment adviser representatives

Maintain strong attention to detail and effectively manage multiple priorities

Ability to travel less than 25% of the year

Qualification

FINRA rules knowledgeSEC regulations knowledgeCompliance supervision experienceRisk assessment skillsAnalytical skillsCommunication skillsInterpersonal skillsBachelor's degreeFINRA Series 7FINRA Series 24FINRA SIESeries 51Series 63/65

Required

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, with experience in both broker-dealer and RIA operations

Strong knowledge of FINRA rules, SEC regulations, and state securities laws

Experience supervising variable annuities, mutual funds, alternative investments, and retirement plans

Excellent communication, interpersonal, and relationship-building skills

Required licenses: FINRA Series 7, 24