Dir Supervision - Broker Dealer

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.

FINRA SIE, Series 7, 24, 51, and 63/65 or 66 licenses required.

Demonstrated ability to build and lead high-performing compliance teams in a regulated financial services environment.

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.

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.

Lead the broker-dealer supervisory program and ensure compliance with applicable laws, regulations, and firm policies.

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.