Compliance Examiner - Broker Dealer

Remote; San Francisco (CA); À distance; USD 90 000 - 126 000; Plein temps

Résumé du poste

Horace Mann seeks an experienced Compliance Examiner to perform comprehensive examinations of Broker/Dealer and RIA branches and registered representatives. This remote role requires travel 80–90% and thorough analysis of records, interviews, and regulatory adherence.

You will prepare detailed reports, identify gaps, and work with the compliance team to implement corrective actions. 3–5 years of related experience and FINRA licenses are required.

Qualifications

• Bachelor's degree in Finance, Accounting, Business, or related field.
• 3–5 years of experience as a compliance examiner or auditor in financial services.
• FINRA Series 7 and 24 licenses.
• Strong knowledge of FINRA, SEC, and state securities regulations.
• Proven experience conducting on-site audits or branch examinations.
• Proficiency in Microsoft Office; familiarity with FINRA Gateway.
• Excellent written and verbal communication skills.

Responsabilités

• Plan, schedule, and conduct on-site and remote examinations of Broker/Dealer and RIA branch offices, and registered representatives.
• Review client files, trade blotters, correspondence, ads, and financial records for regulatory compliance.
• Conduct interviews with branch managers, representatives, and staff to assess supervisory controls.
• Identify and document deficiencies, violations, and operational weaknesses clearly.
• Prepare examination reports with findings, recommendations, and evidence.
• Follow up with branches to verify remediation of issues.
• Collaborate with CCO to analyze trends and develop compliance solutions.
• Stay current on regulatory developments and best practices.
• Assist with special regulatory inquiries and projects as needed.
• Conduct 70–90 branch examinations per year; travel 80–90%.

Connaissances

Analytical skills

Investigative skills

Written and verbal communication

Organizational skills

Formation

Bachelor's degree

FINRA Series 7 & 24 licenses

Equivalent experience

Outils

Microsoft Office Suite

FINRA Gateway

Description du poste

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

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