Regulatory Compliance & Suitability Analyst

Horace Mann; United States; Remote; USD 70,000 - 110,000; Full time

Job summary

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.

This role focuses on reviewing financial product applications for FINRA suitability and regulatory compliance, evaluating transaction documentation, and coordinating with field partners to ensure timely documentation and effective

Qualifications

• Review financial product applications for FINRA suitability and regulatory compliance.
• Evaluate transaction documentation and follow up with registered personnel as needed.
• Serve as a resource on product suitability, asset allocation, and required documentation.
• Clearly communicate outstanding requirements to field partners.
• Use exception reports and surveillance systems to support firm supervision.
• Assist in training, forms, and process improvements for compliance.

Job description

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.

This role focuses on reviewing financial product applications for FINRA suitability and regulatory compliance, evaluating transaction documentation, and coordinating with field partners to ensure timely documentation and effective