Director, Supervision – Broker Dealer

Horace Mann

Director of Supervision responsible for broker-dealer compliance and risk management at Horace Mann. Leading supervisory strategy and training for representatives and principals.

Posted 7/1/2026full-timeRemote • 🇺🇸 United StatesSeniorLead💰 $105,200 - $147,950 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive expertise in broker-dealer compliance and supervisory practices, with a strong focus on regulatory adherence and leadership in developing supervisory programs. Capable of fostering a culture of compliance through effective communication and training.

Highest-signal resume keywords

Broker-Dealer ComplianceLeadership ExperienceFINRA RegulationsSupervisory Training DevelopmentRegulatory Examination Preparation

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Supervisory ProceduresTrade ReviewsVariable AnnuitiesMutual FundsAlternative InvestmentsRetirement ProductsRisk IdentificationMonitoring ProgramsSurveillance EnhancementsPerformance Management

Soft Skills

CommunicationRelationship ManagementCoachingContinuous ImprovementLeadership

Certifications & Qualifications

FINRA SIESeries 7Series 24Series 51Series 63Series 65Series 66

Industry Keywords

SEC RegulationsState Securities RegulationsWritten Supervisory ProceduresCompliance CultureExecutive Leadership Reporting

About the role

Key responsibilities & impact

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

What you’ll need

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.

Benefits

Comp & perks

Salary is commensurate to experience, location, etc.