Compliance Examiner – Broker Dealer

Horace Mann

Compliance Examiner conducting examinations of branch offices for compliance with regulations. Joining Horace Mann to ensure adherence to FINRA, SEC, and state laws.

Posted 7/24/2026full-timeRemote • 🇺🇸 United StatesMid-LevelSenior💰 $89,800 - $125,500 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in compliance examination and auditing within the financial services industry, with a strong focus on regulatory standards and effective communication of findings. Proficient in conducting thorough branch examinations and developing compliance solutions based on analytical insights.

Highest-signal resume keywords

FINRA Series 7FINRA Series 24Compliance ExaminationRegulatory KnowledgeAnalytical Skills

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Compliance AuditingRegulatory ReviewReport PreparationDeficiency DocumentationFinancial Record AnalysisClient File ReviewTrade Blotter ExaminationOperational Weakness IdentificationOn-Site AuditsBranch Examination

Soft Skills

Attention to DetailWritten CommunicationVerbal CommunicationOrganizational SkillsTime Management

Tools & Technologies

Microsoft Office SuiteFINRA GatewayRegulatory Filing Systems

Certifications & Qualifications

Bachelor’s Degree in FinanceBachelor’s Degree in AccountingBachelor’s Degree in Business

Industry Keywords

Broker-DealerRIASEC RegulationsState Securities RegulationsCompliance RisksSupervisory EffectivenessRegulatory StandardsFinancial Services IndustryTravel RequirementsExamination Reports

About the role

Key responsibilities & impact

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.

Requirements

What you’ll need

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.

Benefits

Comp & perks

Salary is commensurate to experience, location, etc.