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Suitability & Transaction Review:
- Review financial product applications for FINRA suitability and regulatory compliance.
- Evaluate transaction documentation and follow up with registered personnel as needed.
Registered Representative Support:
- Serve as a resource on product suitability, asset allocation, and required documentation.
- Clearly communicate outstanding requirements to field partners.
Surveillance & Process Improvement:
- Use exception reports and surveillance systems to support firm supervision.
- Assist in training, forms, and process improvements for compliance.
Horace Mann
Horace Mann provides insurance and financial products tailored to educators, helping them protect assets and plan for the future. Serving over 4,100 school districts nationwide, the company is publicly traded on the NYSE and holds more than $12 billion in assets.