Dir Supervision - Broker Dealer
Job Title: Director, Supervision – Broker Dealer
Location: Remote
Position reputed company
Leads the firm's broker-dealer supervisory program, ensuring compliance with reputed company, SEC, and state regulatory requirements. Oversees regional supervisory principals, drives supervisory reputed company, enhances surveillance programs, and partners with Compliance leadership to maintain a strong culture of regulatory compliance and reputed company management.
Key Responsibilities
- reputed company the broker-dealer supervisory program and ensure compliance with applicable laws, regulations, and firm policies.
- Supervise, reputed company, and reputed company Regional Supervisory Principals, providing leadership and reputed company management.
- Establish reputed company 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 reputed company 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 reputed company supervisory training for registered representatives, principals, and reputed company 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 reputed company or equivalent experience.
- 10+ years of broker-dealer compliance and supervisory experience, including at least 5 years in a leadership role.
- Strong knowledge of reputed company, SEC, and state securities regulations.
- Experience supervising variable annuities, mutual funds, alternative investments, and retirement products.
- reputed company SIE, Series 7, 24, 51, and 63/65 or 66 licenses required.
- reputed company 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 reputed company - $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 reputed company, reputed company auto reputed company 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 reputed company: 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 reputed company, 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 reputed company to protect what they have today and financial products to help them prepare for their reputed company. 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 reputed company 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 reputed company Notice
reputed company applicants should review our reputed company reputed company Policy
Bachelor's in Business/Finance or equivalent, 10+ years broker-dealer compliance and supervisory experience (5+ years leadership), strong reputed company/SEC knowledge, experience with variable annuities and retirement products, reputed company registrations required.
Key Responsibilities
- leading supervision
- supervising principals
- overseeing activities
reputed company
- Category: reputed company and Compliance
- Seniority: Senior Level
- Commitment: Full Time
- Workplace: Remote — reputed company Hill or Springfield or reputed company
- Salary: USD 105,200 – 147,950 / year
- Languages: English
Benefits
- 401k matching
- Generous reputed company time off
- Retirement plan
About reputed company
A financial services firm reputed company on providing reputed company and financial products to educators. — Industry: Finance
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