Horace Mann · 1 week ago
Broker Dealer Operations Principal
Cherry Hill, NJ
Full-time
Hybrid
Senior Level, Lead/Staff
$66K/yr - $92K/yr
3+ years expHorace Mann is seeking an experienced and detail-oriented Broker Dealer Operations Principal to provide supervisory oversight and operational leadership within their broker-dealer organization. This role plays a critical part in ensuring regulatory compliance, operational efficiency, and risk management across trading, account maintenance, and securities-related activities.
Auto InsuranceFinancial ServicesInsuranceLife Insurance
Responsibilities
Oversee broker-dealer operational processes, including asset movement, account transfers, and account maintenance requests
Perform supervisory principal reviews of daily trades and transactions in accordance with FINRA requirements (Series 24 supervision)
Conduct suitability reviews for new accounts, new business, annuity transactions, and other securities transactions
Ensure firm adherence to FINRA and SEC regulatory requirements, policies, and procedures
Partner with the Manager of Broker Dealer Operations to maintain workflow efficiency and regulatory alignment
Support internal audits, regulatory exams, documentation, and reporting requirements
Assist with the ongoing development, maintenance, and improvement of operational and compliance procedures
Communicate effectively with registered representatives regarding operational questions, processes, and transaction-related inquiries
Qualification
Required
Business degree or equivalent professional experience required
3–5 years of experience in broker-dealer operations or a similar financial services role
FINRA Series 7 registration required
FINRA Series 24 registration required (must obtain active registration within 6 months of hire if not currently held)
Strong working knowledge of broker-dealer operations, securities processing, and regulatory supervision
Demonstrated ability to handle confidential and sensitive information with discretion and professionalism
Proven ability to manage multiple projects independently in a relatively small or lean organizational environment
Strong organizational, analytical, and communication skills
Benefits
Special rates and benefits for educators
Company
Horace Mann
Horace Mann provides auto insurance, life insurance, and financial services.
1001-5000 employees
Funding
Current Stage
Public CompanyTotal Funding
$600M2025-09-23Post Ipo Debt· $300M
2023-09-12Post Ipo Debt· $300M
1991-11-15IPO
Leadership Team
Ryan E Greenier
Chief Financial Officer
Recent News
2025-11-19
Company data provided by crunchbase