Regional Supervisory Principal - Broker Dealer
Horace Mann · United States · 3 mo ago
RemoteRemoteFinanceFull-time
About the role
Details about the role will be provided in the respective section.
Responsibilities
- Manage compliance programs and policies
- Conduct audits and investigations
- Develop and implement compliance training programs
- Ensure adherence to regulatory requirements
- Provide guidance on compliance issues
Requirements
- Bachelor's degree in a related field
- 5+ years of relevant experience
- Strong analytical and problem-solving skills
- Excellent communication and interpersonal skills
- Ability to work independently and manage multiple tasks
Qualifications
- Knowledge of relevant laws and regulations
- Experience in risk management and compliance
- Proficiency in Microsoft Office Suite
- Ability to analyze data and make informed decisions
Skills
- Strong organizational and time management skills
- Effective written and verbal communication skills
- Ability to work under pressure and meet deadlines
- Strong attention to detail
Benefits
- Flexible working arrangements
- Competitive compensation package
- Health insurance benefits
- Retirement plans
- Professional development opportunities
Pay
Compensation is commensurate with experience.
Schedule
Hours are flexible and can be worked remotely or in-office.