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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.
- 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.
Qualifications:
- Bachelor's degree in Business, Finance, or 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.
Horace Mann
Horace Mann helps educators protect what they have today and prepare for tomorrow, offering insurance and financial products tailored for educators. Publicly traded on the NYSE, serving over 4,100 school districts nationwide with more than $12 billion in assets.