Remote Regional Compliance Leader Broker-Dealer
Remote / Online - Candidates ideally in
Springfield, Sangamon County, Illinois, 62777, USA
Listed on 2026-07-01
Springfield, Sangamon County, Illinois, 62777, USA
Listing for:
Horace Mann
Remote/Work from Home
position Listed on 2026-07-01
Job specializations:
-
Management
Regulatory Compliance Specialist, Risk Manager/Analyst
Job Description & How to Apply Below
Horace Mann is seeking a Regional Supervisory Principal – Broker-Dealer responsible for overseeing registered representatives to ensure compliance with FINRA, SEC, and state regulations. This role involves guiding financial professionals on compliance issues, conducting audits, and managing supervisory programs.
The ideal candidate will have 7-10 years experience in compliance, a Bachelor's degree, and knowledge of various investment products. The position is remote with a salary range of $71,500 to $105,400.
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