Broker Dealer Operations Principal

Horace Mann • Cherry Hill, NJ

1d • Hybrid

About The Position

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.

Requirements

• 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.

Responsibilities

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 1,001-5,000 employees