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
Requirements
Preferred Qualifications
Salary Range - $105,200.00 - $147,950.00
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
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Job details are sourced from the employer's original posting.
Open job postingAbout the company
Horace Mann was founded in 1945 by two Springfield, Illinois, teachers who saw a need for quality, affordable auto insurance for teachers. Since then, they’ve broadened their mission to helping all educators protect what they have today and prepare for a successful tomorrow. They serve more than 4,100 school districts nationwide, are publicly traded on the New York Stock Exchange (symbol: HMN) and have more than $12 billion in assets. They help educators identify their financial goals and develop plans to achieve them, including insurance and financial products.