Compliance Examiner – Broker Dealer

🔥 43 minutes ago

🇺🇸 United States – Remote

💵 $89.8k - $125.5k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

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Horace Mann

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 1945

🛡️ Insurance

💸 Finance

📚 Education

Insurance • Finance • Education

Horace Mann is a company that provides comprehensive insurance and financial solutions tailored for educators and public sector workers. The company offers a wide range of insurance options including auto, home, renters, liability, life, and supplemental insurance. In addition to insurance, Horace Mann provides retirement and financial strategies, such as 529 College Savings Plans, investment management, and student loan solutions designed specifically to help educators. They are committed to supporting educators through various programs, workshops, webinars, and partnership initiatives that aid in professional and personal financial wellness. Horace Mann is recognized for its strong financial stability and ethical governance practices, ensuring security and privacy for its nearly one million educator clients across the nation.

📋 Description

• 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.

🎯 Requirements

• Bachelor’s degree in Finance, Accounting, Business, or a related field; or equivalent experience • 3–5 years of experience as a compliance examiner or auditor within the financial services industry, preferably with a broker-dealer. • Licenses Required: FINRA Series 7 and 24. • Strong knowledge of FINRA, SEC, and state securities regulations. • Proven experience conducting on-site audits or branch examinations. • Proficiency in Microsoft Office Suite and familiarity with regulatory filing systems (e.g., FINRA Gateway). • Exceptional analytical and investigative skills with attention to detail. • Excellent written and verbal communication skills, with the ability to present complex findings clearly. • Ability to work independently and manage a demanding travel schedule. • Strong organizational and time-management abilities.

🏖️ Benefits

• Salary is commensurate to experience, location, etc.