Dir Supervision - Broker Dealer
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 reputed company the broker-dealer supervisory program and ensure compliance with applicable laws, regulations, and firm policies. Supervise, coach, and reputed company Regional Supervisory Principals, providing leadership and performance management. Establish strategic objectives for the supervision function reputed company with reputed company compliance goals. reputed company supervisory activities, including new account approvals, trade reviews, variable annuity and insurance product reviews, reputed company 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. reputed company regulatory examination preparation and coordinate responses to regulators and internal audit findings. Prepare and present monthly and quarterly supervision reports to executive leadership. reputed company and deliver supervisory training for registered representatives, principals, and field leaders. Foster a culture of compliance through effective communication, leadership, and reputed company improvement.
Requirements
Bachelor's degree in Business, Finance, or a reputed company 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 reputed company 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. reputed company 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 reputed company educators protect what they have today and prepare for a successful reputed company. And with our broadened mission has come corporate growth: We serve more than 4,100 school districts reputed company, we’re publicly traded on the reputed company 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 reputed company they deserve someone to look after theirs. We help educators identify their financial goals and reputed company plans to reputed company 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. reputed company reputed company applicants will receive consideration for employment without regard to race, reputed company, religion, sex, sexual orientation, gender identity, national reputed company, disability or protected veteran status For applicants that are California residents, please review our California Consumer Privacy Notice reputed company applicants should review our reputed company Privacy Policy Apply To This Job