Horace Mann
Regional Supervisory Principal - Broker Dealer
Horace Mann, Myrtle Point, Oregon, United States, 97458
Employer Industry: Financial Services
Why consider this job opportunity
Salary range up to $105,400.00
Opportunity for career advancement and growth within the organization
Work remotely with the flexibility of managing your own schedule
Supportive and collaborative work environment focused on compliance and risk management
Chance to make a positive impact on the financial services industry by ensuring adherence to regulations
What to Expect (Job Responsibilities)
Oversee and review the activities of registered representatives and investment adviser representatives for compliance with regulatory requirements
Conduct daily, weekly, and periodic reviews of transactions and client correspondence for suitability and compliance
Provide guidance on complex compliance issues and regulatory updates to financial professionals
Conduct internal audits and branch examinations to assess supervisory controls
Develop and deliver compliance training programs for staff to ensure understanding of regulatory obligations
What is Required (Qualifications)
Bachelor’s degree in Business, Finance, or a related field (or equivalent experience)
7–10 years of experience in a compliance or supervisory role within the financial services industry
Strong knowledge of FINRA rules, SEC regulations, and state securities laws
Required licenses: FINRA Series 7, 24
Excellent communication, interpersonal, and relationship-building skills
How to Stand Out (Preferred Qualifications)
Preferred licenses: FINRA SIE, Series 51, 63/65 or 66
Experience supervising variable annuities, mutual funds, alternative investments, and retirement plans
We prioritize candidate privacy and champion equal-opportunity employment. Central to our mission is our partnership with companies that share this commitment. We aim to foster a fair, transparent, and secure hiring environment for all. If you encounter any employer not adhering to these principles, please bring it to our attention immediately.
We are not the EOR (Employer of Record) for this position. Our role in this specific opportunity is to connect outstanding candidates with a top-tier employer.
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Why consider this job opportunity
Salary range up to $105,400.00
Opportunity for career advancement and growth within the organization
Work remotely with the flexibility of managing your own schedule
Supportive and collaborative work environment focused on compliance and risk management
Chance to make a positive impact on the financial services industry by ensuring adherence to regulations
What to Expect (Job Responsibilities)
Oversee and review the activities of registered representatives and investment adviser representatives for compliance with regulatory requirements
Conduct daily, weekly, and periodic reviews of transactions and client correspondence for suitability and compliance
Provide guidance on complex compliance issues and regulatory updates to financial professionals
Conduct internal audits and branch examinations to assess supervisory controls
Develop and deliver compliance training programs for staff to ensure understanding of regulatory obligations
What is Required (Qualifications)
Bachelor’s degree in Business, Finance, or a related field (or equivalent experience)
7–10 years of experience in a compliance or supervisory role within the financial services industry
Strong knowledge of FINRA rules, SEC regulations, and state securities laws
Required licenses: FINRA Series 7, 24
Excellent communication, interpersonal, and relationship-building skills
How to Stand Out (Preferred Qualifications)
Preferred licenses: FINRA SIE, Series 51, 63/65 or 66
Experience supervising variable annuities, mutual funds, alternative investments, and retirement plans
We prioritize candidate privacy and champion equal-opportunity employment. Central to our mission is our partnership with companies that share this commitment. We aim to foster a fair, transparent, and secure hiring environment for all. If you encounter any employer not adhering to these principles, please bring it to our attention immediately.
We are not the EOR (Employer of Record) for this position. Our role in this specific opportunity is to connect outstanding candidates with a top-tier employer.
#J-18808-Ljbffr