Regional Compliance Officer

Horace Mann

Location: Remote (or hybrid from Springfield, IL)

The Regional Compliance Officer is accountable for the implementation and coordination of the supervisory program for an assigned region and/or home office.

Responsibilities

Responsible for onsite branch office audits as prescribed by regulation, conducting quarterly compliance reviews for all assigned registered representatives, ongoing securities-related monitoring and surveillance, activities, propose and administer disciplinary actions, review and approval of all outside business activities, personal investment accounts, and private securities transactions

Coordination of new registered representative on-boarding and agency branch office set-up

Provides independent guidance and training on securities related compliance matters to agents/registered representatives and field management as required

Accountable to regulatory bodies for compliance with supervisory regulations of agents/registered representatives in the region; administer corrective action as required

Requirements

Job Requirements:

Bachelor's Degree or equivalent years of experience in the industry

3-5 years of experience in securities industry - preference to individuals with compliance experience

Ability to work independently and as part of a team

Travel within assigned region (up to 50% of the time)

Licensing requirements: FINRA Series 7 (or Series 6) and Series 24 (or Series 26) required. Series 51/53 and Series 65/66 required within 3 - 6 months of date of hire