Dir Supervision - Broker Dealer

horacemannservicecorporation· Compliance
Apply Now ↗
🌍 Remote📍 Remote💰 USD 105K–148K

About this role

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

Frequently Asked Questions

What is the salary for the Dir Supervision - Broker Dealer role at horacemannservicecorporation?
The listed salary for this Dir Supervision - Broker Dealer position at horacemannservicecorporation is USD 105K–148K. This is a remote full-time role.
Is the Dir Supervision - Broker Dealer job at horacemannservicecorporation remote?
Yes, this Dir Supervision - Broker Dealer position at horacemannservicecorporation is remote, with team members based in Remote. You can work from home or anywhere in the supported regions.
Which team or department does the Dir Supervision - Broker Dealer at horacemannservicecorporation belong to?
This Dir Supervision - Broker Dealer position is part of the Compliance department at horacemannservicecorporation. See the full job description for more information about the team structure and responsibilities.
How do I apply for the Dir Supervision - Broker Dealer position at horacemannservicecorporation?
Click the "Apply Now" button on this page. You will be redirected to horacemannservicecorporation's official application portal hosted on greenhouse where you can submit your application directly.
When was the Dir Supervision - Broker Dealer job at horacemannservicecorporation posted?
This Dir Supervision - Broker Dealer position at horacemannservicecorporation was posted on Jul 1, 2026. Apply as soon as possible — early applications are often reviewed first.
Dir Supervision - Broker Dealer
horacemannservicecorporation · 💰 USD 105K–148K
Apply for this role ↗

You'll be redirected to horacemannservicecorporation's official application page on Greenhouse.