Compliance Examiner, Broker-Dealer

Horace Mann is seeking an experienced Compliance Examiner to ensure compliance with FINRA, SEC, and state regulations across broker-dealer and registered representative branches. The role requires thorough examinations, analysis of financial records, and identification of potential compliance risks. The position involves managing travel and collaboration with the Chief Compliance Officer.

Requirements

• Bachelor’s degree in Finance, Accounting, Business, or a related field.
• 3–5 years of experience as a compliance examiner or auditor within the financial services industry.
• 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).

Benefits

• Healthcare
• Life insurance
• Paid time off
• Retirement plan
• Employee Discounts