Job Description
Job Title: Compliance Examiner – Broker Dealer
Location: Remote
About the Role
We are seeking an experienced and highly motivated Compliance Examiner to join our team. This position is responsible for conducting comprehensive examinations of branch offices and registered representatives to ensure compliance with FINRA, SEC, and state regulations. The ideal candidate will possess strong analytical, communication, and organizational skills, and thrive in a fast-paced, travel-intensive environment.
Essential Job Functions
- 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.
Qualifications
- 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.
Compensation: $89,800.00 - $125,500.00
- Salary is commensurate to experience, location, etc.
Horace Mann was founded in 1945 by two Springfield, Illinois, teachers who saw a need for quality, affordable auto insurance for teachers. Since then, we’ve broadened our mission to helping all educators protect what they have today and prepare for a successful tomorrow. And with our broadened mission has come corporate growth: We serve more than 4,100 school districts nationwide, we’re publicly traded on the New York Stock Exchange (symbol: HMN) and we have more than $12 billion in assets.
We’re motivated by the fact that educators take care of our children’s future, and we believe they deserve someone to look after theirs. We help educators identify their financial goals and develop plans to achieve them. This includes insurance to protect what they have today and financial products to help them prepare for their future. Our tailored offerings include special rates and benefits for educators.
EOE/Minorities/Females/Veterans/Disabled. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or protected veteran status
For applicants that are California residents, please review our California Consumer Privacy Notice
All applicants should review our Horace Mann Privacy Policy
Originally posted on Himalayas
