Director, Supervision – Broker Dealer

Responsibilities

• Lead the broker-dealer supervisory program and ensure compliance with applicable laws, regulations, and firm policies
• Supervise, coach, and develop Regional Supervisory Principals
• Establish strategic objectives for the supervision function aligned with enterprise compliance goals
• Oversee supervisory activities including new account approvals, trade reviews, and branch surveillance
• Maintain and enhance Written Supervisory Procedures (WSPs) and supervisory controls
• Identify emerging supervisory risks and implement monitoring programs
• Lead regulatory examination preparation and coordinate responses to regulators
• Prepare and present monthly and quarterly supervision reports to executive leadership
• Develop and deliver supervisory training for registered representatives and principals

Requirements

• Bachelor's degree in Business, Finance, or a related field or equivalent experience
• 10+ years of broker-dealer compliance and supervisory experience
• 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

Preferred Qualifications

• Experience leading supervisory technology, surveillance, or workflow modernization initiatives
• Demonstrated ability to build and lead high-performing compliance teams

About the Company

Horace Mann was founded in 1945 to help educators protect what they have today and prepare for a successful tomorrow. We serve more than 4,100 school districts nationwide and are publicly traded on the New York Stock Exchange.