Job description
Horace Mann is a purpose-driven company that is passionate about educators. The Director of Compliance – Broker Dealer plays a key leadership role in supporting Horace Mann Investors, Inc. (HMII) by managing strategic compliance functions and ensuring alignment with evolving regulatory expectations. This individual will oversee the compliance framework, identify regulatory risks, support policy development, and lead day-to-day compliance operations across HMII’s broker-dealer and registered investment adviser activities.
Key Responsibilities:
Drive strategic compliance initiatives in alignment with long-term organizational objectives.
Proactively identify, prioritize, and mitigate regulatory risks and process gaps.
Oversee day-to-day compliance activities, including advertising and sales material reviews, customer complaint handling, and other communications oversight.
Conduct compliance audits and reviews to evaluate and enhance the compliance program’s effectiveness.
Monitor client accounts, transactions, and investment activity under FINRA, SEC, DOL, and insurance industry standards.
Collaborate with internal business partners to support and promote compliance across the organization.
Design and deliver training programs for all registered individuals to support regulatory adherence.
Monitor and analyze new and changing legislation/regulatory rules impacting the securities industry.
Prepare and file all required regulatory reports and maintain accurate compliance records.
Conduct Anti-Money Laundering (AML) surveillance, file Suspicious Activity Reports (SARs), and provide AML training.
Implement and monitor corrective and preventative actions to address identified compliance issues.
Qualifications:
Bachelor’s degree in Finance, Business, Law, or a related field.
Minimum of 7 years of Broker Dealer and SEC Registered Investment Adviser experience.
Extensive experience in policy and procedure development for BD and IA compliance.
Strong working knowledge of FINRA, SEC, and other regulatory frameworks.
Proven leadership and project management skills, with the ability to coordinate multiple priorities.
Demonstrated success in training, delegating, and motivating teams.
Excellent written communication and attention to detail.
Experience in life insurance, annuities, variable products, and mutual fund compliance is preferred.
Licensing Requirements:
FINRA Series 6 and 26 are required.
FINRA Series 7 and 24 licenses must be acquired within 12 months of hire.
FINRA Series 51 and 66 must be obtained within 18 months of hire.
Pay Range:
- $99,100.00 - $146,050.00
Salary is commensurate to experience, location, etc.
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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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