Director Operations

The Director of Operations will lead management of day-to-day Operations for Horace Mann Investors Inc., which encompasses all activities and functions for HMII and all registered individuals and assist and support Operations for BCG Securities, Inc. and any other BDs affiliated with Horace Mann.

• Function as an independent and objective body that reviews and evaluates operations & compliance issues/concerns within the RIA & securities brokerage platform. Subject matter expert for Horace Mann regarding brokerage and RIA-related issues.
• Primary contact with BD clearing firm to ensure customer accounts are in good order and transactions are completed in a timely manner.
• Provide independent guidance and training on securities related operations to agents/investment advisor/registered representatives and field & senior management as required.
• Responsible for all licensing and registration processes, inquiries and regulatory actions for all registered representatives, investment adviser representatives and home office employees who maintain a registration.
• Ensure that appropriate steps are taken for proper individual registrations on the state and federal level to prevent the sale, service, and solicitation of securities products by an unregistered individual.
• Collaborate with Firm Compliance in responding and complying with FINRA, SEC, state securities, and annual OSJ exams requests relating to overall Broker Dealer functions.
• Directly oversee and manage compensation inquiries and issues related to third party securities platforms.
• Respond to general securities questions from customers and registered persons as needed.

ADDITIONAL INFORMATION

• FINRA licenses required (SIE, Series 6 or 7, Series 24, Series 63 and 65 or Series 66, Series 51 or 5  
• Bachelor’s degree required or Master’s degree preferred and 5+ years financial services industry experience, with a minimum of 3 years previous management experience.
• Responsible for oversight of Broker Dealer Operations for Registered Representatives & Investment Advisor Representatives
• Manage and lead team of direct reports relating to BD Operations department, including registration and wealth management personnel
• Responsible for operations related decisions on behalf of HMII RIA and securities brokerage platforms.
• Relationship manager primary point of contact for clearing firm/third party manager/trading platform related issues.
• Approve and onboard all new investment advisor representatives, registered representatives, and registered home office personnel
• Collaborate with other HM Management to continue to improve and enhance policies and procedures.             
• Collaborate with the CCO for the establishment and maintenance of required securities brokerage & RIA books and records, compliance procedures and manuals.
• Knowledge of applicable securities and investment advisor rules and regulations, including, but not limited to, FINRA, SEC, MSRB, ERISA, Investment Advisers Act of 1940, and state securities and RIA rules and regulations.

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