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Key Responsibilities:
- Plan, schedule, and conduct on-site and remote examinations of Broker/Dealer and RIA branch offices.
- Review books and records, including client files, trade blotters, and advertising materials.
- Conduct interviews with branch managers and staff to evaluate supervisory effectiveness.
Qualifications:
- Bachelor's degree in Finance, Accounting, or related field; 3-5 years of compliance examiner experience.
- FINRA Series 7 and 24 licenses required.
- Strong knowledge of FINRA, SEC, and state securities regulations.
Compensation and Travel:
- Salary range: $89,800.00 - $125,500.00 commensurate with experience.
- Travel 80-90%; must reside within one hour of a major airport.
Horace Mann
Horace Mann, founded in 1945 by teachers, provides insurance and financial products to help educators protect their assets and prepare for the future. We serve over 4,100 school districts nationwide, are publicly traded on the NYSE, and have more than $12 billion in assets.