Horace Mann provides insurance and financial products tailored for educators, helping them protect their assets and plan for the future. The company serves over 4,100 school districts nationwide, is publicly traded on the NYSE, and holds more than $12 billion in assets, fostering a culture dedicated to supporting those who shape our children's futures.
Conduct comprehensive on-site and remote examinations of branch offices and registered representatives to ensure compliance with FINRA, SEC, and state regulations.
Review client files, trade blotters, and financial records, and interview staff to identify deficiencies and operational weaknesses.
Prepare detailed reports summarizing findings and collaborate with the compliance team to develop proactive solutions.