Broker Dealer Operations Principal

Introduction

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.

Horace Mann is seeking an experienced and detail-oriented Broker Dealer Operations Principal to provide supervisory oversight and operational leadership within our broker-dealer organization. This role plays a critical part in ensuring regulatory compliance, operational efficiency, and risk management across trading, account maintenance, and securities-related activities.

The ideal candidate brings a strong understanding of broker-dealer operations, FINRA and SEC regulations, and the ability to operate independently in a collaborative, fast-paced environment.
This position is hybrid with office hours 3 days a week in Cherry Hill, NJ must be able to commute.

• Oversee broker-dealer operational processes, including asset movement, account transfers, and account maintenance requests.
• Perform supervisory principal reviews of daily trades and transactions in accordance with FINRA requirements (Series 24 supervision).
• Conduct suitability reviews for new accounts, new business, annuity transactions, and other securities transactions.
• Ensure firm adherence to FINRA and SEC regulatory requirements, policies, and procedures.
• Partner with the Manager of Broker Dealer Operations to maintain workflow efficiency and regulatory alignment.
• Support internal audits, regulatory exams, documentation, and reporting requirements.
• Assist with the ongoing development, maintenance, and improvement of operational and compliance procedures.
• Communicate effectively with registered representatives regarding operational questions, processes, and transaction-related inquiries.

• Business degree or equivalent professional experience required.
• 3–5 years of experience in broker-dealer operations or a similar financial services role.
• FINRA Series 7 registration required.
• FINRA Series 24 registration required (must obtain active registration within 6 months of hire if not currently held).
• Strong working knowledge of broker-dealer operations, securities processing, and regulatory supervision.
• Demonstrated ability to handle confidential and sensitive information with discretion and professionalism.
• Proven ability to manage multiple projects independently in a relatively small or lean organizational environment.
• Strong organizational, analytical, and communication skills.

• Normal office environment.
• Periodic travel may be required.

Salary Range:

$66,500.00 - $92,000.00 annually

Salary is commensurate to experience, location, etc.