Broker Dealer Operations Administrator

Key Responsibilities

• Process operational requests including asset movements, account transfers, and account maintenance activities.
• Aid registered representatives with client onboarding, account setup, and operational support.
• Monitor pending requests, follow up on outstanding documentation, and escalate issues when necessary.
• Partner with our clearing custodian to resolve account transfer and transaction-related inquiries.

Regulatory Compliance & Administration

• Ensure operational activities comply with FINRA, SEC, and company regulatory requirements.
• Support internal audits, reporting requirements, and recordkeeping obligations.
• Maintain accurate documentation and operational records in accordance with regulatory standards.
• Handle confidential client and company information with the highest level of professionalism and discretion.

Customer & Advisor Support

• Build strong working relationships with registered representatives by responding to operational inquiries and providing timely guidance.
• Deliver exceptional service by resolving operational issues efficiently and accurately.
• Communicate effectively with internal departments, business partners, and external vendors to facilitate timely resolution of requests.

Process Improvement & Operational Excellence

• Collaborate with department leadership to maintain efficient workflows and service levels.
• Identify opportunities to improve operational processes, increase accuracy, and enhance the advisor experience.
• Participate in special projects related to broker-dealer operations, regulatory initiatives, system enhancements, and business process improvements.
• Perform additional duties and responsibilities as assigned.

Qualifications & Experience

• Business degree or equivalent professional experience required.
• Must obtain FINRA Securities Industry Essentials (SIE) and Series 7 licenses within six months of hire.
• Strong organizational skills with the ability to manage multiple priorities in a fast-paced environment.
• Ability to handle confidential information with discretion and professionalism.
• Ability to work independently while maintaining strong collaboration with team members.

Skills & Competencies

• Strong customer service and relationship management skills.
• Excellent verbal and written communication skills.
• High attention to detail and commitment to operational accuracy.
• Strong analytical and problem-solving abilities.
• Ability to identify opportunities for continuous process improvement.
• Adaptability and ability to manage multiple projects simultaneously.

Additional Information

• Normal office environment – hybrid 3 days a week in office.
• Periodic travel may be required.

Pay Range

Pay Range: $21.44- $29.16/hr. Salary is commensurate to experience, location, etc.

About the Role

BCG Securities, a subsidiary of Horace Mann, is seeking a detail-oriented and customer-focused Broker Dealer Operations Administrator to join our Broker-Dealer Operations team. In this role, you'll play an integral part in supporting our registered representatives and ensuring operational excellence across account administration, asset movement, and regulatory compliance.

Company Overview

Horace Mann, founded in 1945 by two Springfield, Illinois, teachers, provides quality, affordable auto insurance for teachers. Over time, Horace Mann has expanded its mission to help all educators protect what they have today and prepare for a successful tomorrow. With more than 4,100 school districts nationwide, public stock listing on the New York Stock Exchange (symbol: HMN), and over $12 billion in assets, Horace Mann is committed to helping educators achieve their financial goals through tailored insurance and financial products.

Equal Opportunity Employer

We are an equal opportunity employer and welcome applications from all qualified individuals. We are committed to creating a diverse and inclusive workplace where everyone feels valued and respected.