Director of Compliance – Broker Dealer Full Time

Summary:

Horace Mann, founded in 1945 by two Springfield, Illinois teachers, is a purpose-driven company focused on educators, offering insurance and financial products. Now publicly traded (NYSE: HMN) with over $12 billion in assets, it serves 4,100+ school districts. The Director of Compliance – Broker Dealer leads compliance for Horace Mann Investors, Inc., ensuring regulatory alignment.

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.

Requirements:

• 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.
• FINRA Series 7 and 24 licenses are required.
• FINRA Series 51 and 66 must be obtained within 12 months of hire.

Benefits:

• Pay Range: $99,100.00 – $146,050.00.
• Salary is commensurate to experience, location, etc.
• 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.