Dir Supervision - Broker Dealer

RemoteRemotePosted 8 days ago

Role Overview

Horacemannservicecorporation is hiring a mid-level Dir Supervision - Broker Dealer. This is a full-time remote role, with the team based in Remote. Part of Horacemannservicecorporation's Risk hiring, posted last week. Full responsibilities, required qualifications, and the apply link are listed in the description below.

Salary Context

Salary is not disclosed in this posting. Market median for Mid-level Risk roles is $80k-$101k (based on 35 comparable listings). Many employers share specifics during the interview process or after an initial screen.

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Job description

Job Title: Director, Supervision – Broker Dealer

Location: Remote

Position Summary

Leads the firm's broker-dealer supervisory program, ensuring compliance with FINRA, SEC, and state regulatory requirements. Oversees regional supervisory principals, drives supervisory strategy, enhances surveillance programs, and partners with Compliance leadership to maintain a strong culture of regulatory compliance and risk management.

Key Responsibilities

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

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.

Preferred Qualifications

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.

Salary Range - $105,200.00 - $147,950.00

Salary is commensurate to experience, location, etc.

Horace Mann was founded in 1945 by two Springfield, Illinois, teachers who saw a need for quality, affordable auto insurance for teachers. Since then, we’ve broadened our mission to helping all educators protect what they have today and prepare for a successful tomorrow. And with our broadened mission has come corporate growth: We serve more than 4,100 school districts nationwide, we’re publicly traded on the New York Stock Exchange (symbol: HMN) and we have more than $12 billion in assets.

We’re motivated by the fact that educators take care of our children’s future, and we believe they deserve someone to look after theirs. We help educators identify their financial goals and develop plans to achieve them. This includes insurance to protect what they have today and financial products to help them prepare for their future. Our tailored offerings include special rates and benefits for educators.

EOE/Minorities/Females/Veterans/Disabled. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or protected veteran status

For applicants that are California residents, please review our California Consumer Privacy Notice

All applicants should review our Horace Mann Privacy Policy

About Horacemannservicecorporation

Horacemannservicecorporation

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Frequently Asked Questions

How do I apply for the Dir Supervision - Broker Dealer position at Horacemannservicecorporation?

Use the Apply button above to submit your application directly to Horacemannservicecorporation. Most applications take less than 5 minutes if your resume and contact details are ready, and you'll be routed to the employer's official application system to finish.

Is the Dir Supervision - Broker Dealer role at Horacemannservicecorporation remote?

Yes. This is a remote role. The team is based in Remote, but the position itself does not require relocating to that office.

What does a Dir Supervision - Broker Dealer at Horacemannservicecorporation earn?

Horacemannservicecorporation has not disclosed a salary range in this posting. Many employers share specifics later in the interview process; you can also ask during a recruiter screen if compensation transparency is important to you.

When was the Dir Supervision - Broker Dealer role at Horacemannservicecorporation posted?

This role was posted on July 1, 2026 (8 days ago). It's still listed as actively hiring; we re-confirm openings against the source system multiple times per day and remove closed roles.

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