Dir Supervision - Broker Dealer at Horace Mann | chakrie

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.
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.

Responsibilities

A clear overview of what is expected, written by the people who posted it, with every detail you need to decide.

Qualifications, experience and the skills that matter most, along with anything that would make you stand out.

Practical next steps, the documents to prepare and the dates to keep in mind before you apply or get in touch.

Contact details, links to the official source and the notes our team adds after checking each listing by hand.

Skills & expertise

Qualifications, experience and the skills that matter most, along with anything that would make you stand out.

Practical next steps, the documents to prepare and the dates to keep in mind before you apply or get in touch.

Contact details, links to the official source and the notes our team adds after checking each listing by hand.

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Salary & benefits

A clear overview of what is expected, written by the people who posted it, with every detail you need to decide.

Qualifications, experience and the skills that matter most, along with anything that would make you stand out.

Practical next steps, the documents to prepare and the dates to keep in mind before you apply or get in touch.

Contact details, links to the official source and the notes our team adds after checking each listing by hand.

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