Compliance Examiner - Broker Dealer

The role

The Compliance Examiner conducts examinations of branch offices and registered representatives to ensure compliance with FINRA, SEC, and state regulations. This role involves reviewing books and records, conducting interviews, and preparing detailed examination reports.

What you will do

• Plan, schedule, and conduct on-site and remote examinations of Broker/Dealer and RIA branch offices and registered representatives.
• Review books and records including client files, trade blotters, correspondence, advertising materials, and financial records.
• Conduct interviews with branch managers, registered representatives, and staff.
• Identify and document deficiencies, violations, and operational weaknesses.
• Prepare detailed examination reports summarizing findings and recommendations.
• Follow up with branches to verify remediation of identified issues.
• Collaborate with the Chief Compliance Officer and compliance team.
• Stay current on regulatory developments and industry best practices.
• Assist with special projects and regulatory inquiries.
• Conduct approximately 70–90 branch examinations per year.

Required 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
• 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
• Ability to work independently and manage a demanding travel schedule
• Strong organizational and time-management abilities
• Must reside within one hour of a major airport

Nice to have

• preferably with a broker-dealer

About the company

Horace Mann was founded in 1945 to help educators protect what they have today and prepare for a successful tomorrow. The company serves more than 4,100 school districts nationwide and is publicly traded on the New York Stock Exchange.