Remote Regional Compliance Leader for Broker-Dealer

Horace Mann; Springfield (IL); On-site; USD 71,500 - 105,400; Full time

Job summary

Horace Mann is seeking a Regional Supervisory Principal – Broker-Dealer responsible for overseeing registered representatives to ensure compliance with FINRA, SEC, and state regulations. This role involves guiding financial professionals on compliance issues, conducting audits, and managing supervisory programs.

The ideal candidate will have 7-10 years experience in compliance, a Bachelor's degree, and knowledge of various investment products. The position is remote with a salary range of $71,500 to $105,400.

Qualifications

• 7–10 years of experience in a compliance or supervisory role within financial services industry.
• Strong knowledge of FINRA rules, SEC regulations, and state securities laws.
• Experience supervising variable annuities, mutual funds, and retirement plans.

Responsibilities

• Oversee activities of registered representatives for compliance with regulations.
• Conduct reviews of transactions and client correspondence.
• Provide guidance on compliance issues and regulatory updates.

Skills

Compliance knowledge

Analytical skills

Communication skills

Interpersonal skills

Education

Bachelor’s degree in Business, Finance, or related field

Tools

FINRA Series 7

FINRA Series 24

Job description

Horace Mann is seeking a Regional Supervisory Principal – Broker-Dealer responsible for overseeing registered representatives to ensure compliance with FINRA, SEC, and state regulations. This role involves guiding financial professionals on compliance issues, conducting audits, and managing supervisory programs.

The ideal candidate will have 7-10 years experience in compliance, a Bachelor's degree, and knowledge of various investment products. The position is remote with a salary range of $71,500 to $105,400.