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Horace Mann · 1 month ago

Compliance Examiner, Broker-Dealer

United States

Full-time

Remote

Mid Level

$84K/yr - $124K/yr

3+ years exp

Horace Mann is seeking an experienced and highly motivated Compliance Examiner to join our team. This position is responsible for conducting comprehensive examinations of branch offices and registered representatives to ensure compliance with FINRA, SEC, and state regulations.

Auto InsuranceFinancial ServicesInsuranceLife Insurance

Responsibilities

Plan, schedule, and conduct on-site and remote examinations of Broker/Dealer and RIA branch offices, as well as registered representatives

Review a wide range of books and records, including client files, trade blotters, correspondence, advertising materials, and financial records to ensure adherence to regulatory standards

Conduct interviews with branch managers, registered representatives, and staff to evaluate supervisory effectiveness and identify compliance risks

Identify and document deficiencies, violations, and operational weaknesses clearly and concisely

Prepare detailed examination reports summarizing findings, recommendations for corrective action, and supporting evidence

Follow up with branches to verify timely and effective remediation of identified issues

Collaborate with the Chief Compliance Officer and compliance team to analyze trends and develop proactive compliance solutions

Stay current on regulatory developments and industry best practices

Assist with special projects and regulatory inquiries as needed

Conduct approximately 70–90 branch examinations per year

Travel: 80-90%

Must reside within one hour of a major airport to facilitate travel

Qualification

FINRA Series 7FINRA Series 24Compliance examinationMicrosoft Office SuiteFINRA regulations knowledgeAnalytical skillsCommunication skillsOrganizational skillsTime-management skills