Regional Supervisory Principal - Broker Dealer
Horace Mann - Agent Opportunities(1 month ago)
About this role
The Regional Supervisory Principal provides regional leadership for the firm’s supervisory and compliance framework, ensuring adherence to FINRA, SEC, and state securities laws. This role supports risk management and regulatory oversight while coordinating with firm leadership to maintain compliance programs and reporting.
Required Skills
- Supervision
- Compliance Review
- Transaction Review
- Account Review
- Client Correspondence
- Regulatory Guidance
- Internal Audit
- Branch Examination
- Training Delivery
- Risk Assessment
+7 more
Qualifications
- Bachelor's Degree in Business or Finance
- FINRA Series 7
- FINRA Series 24
- FINRA SIE
- FINRA Series 51
- FINRA Series 63
- FINRA Series 65
- FINRA Series 66
About Horace Mann - Agent Opportunities
horacemann.comHorace Mann is an insurance and financial services company focused on serving educators, public service and municipal employees. It provides auto, home, renters, supplemental and life insurance as well as retirement annuities and related retirement planning solutions tailored to the educator community. The company emphasizes educator-specific products and guidance to help teachers and school employees protect assets and prepare for retirement.
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