Horace Mann 

Location: Remote

About the Position

The Regional Supervisory Principal is responsible for the oversight and supervision of registered representatives and investment adviser representatives to ensure adherence to FINRA, SEC, and state regulatory requirements. This role provides critical compliance guidance, reviews business practices, conducts supervisory examinations, and supports the firm’s overall risk management framework.

Responsibilities

• Oversee and review the activities of registered representatives and investment adviser representatives for compliance with FINRA, SEC, and state regulations.
• Conduct daily, weekly, and periodic reviews of transactions, new accounts (post-transaction), and client correspondence—including email and social media—for suitability and compliance with firm policies.
• Provide guidance and support to financial professionals on complex compliance issues, firm policies, and regulatory updates.
• Conduct internal audits and branch examinations to assess supervisory controls and identify potential deficiencies.
• Participate in the firm’s annual compliance review and assist with preparation of required reports.
• Identify, monitor, and escalate potential sales practice concerns, conflicts of interest, and other high-risk activities.
• Develop and deliver compliance training programs for new and existing staff to ensure understanding of regulatory obligations.
• Manage heightened supervision programs for representatives with disclosure events or escalated concerns.
• Document supervisory plans and maintain ongoing oversight of supervised individuals.
  Provide regular supervision reports and updates to the Chief Compliance Officer (CCO).
• Track supervisory metrics, analyze trends, and escalate systemic issues for corrective action.
• Stay current on changes to federal and state securities laws and communicate updates to firm leadership and personnel.
• Apply strong analytical, problem-solving, and risk-assessment skills to anticipate potential issues.
• Demonstrate deep knowledge of FINRA, SEC, and state securities regulations as applicable to registered representatives and investment adviser representatives.
• Maintain strong attention to detail and effectively manage multiple priorities.
• Ability to travel less than 25% of the year.

To apply:  https://diversify.bamboohr.com/careers/78https://vizi.vizirecruiter.com/Horace-Mann-2058/379793/index.html