Director of Compliance

Summary

Join Horace Mann as the Director of Compliance – Broker Dealer and play a key leadership role in supporting Horace Mann Investors, Inc. (HMII). Manage strategic compliance functions, ensuring alignment with regulatory expectations. Oversee the compliance framework, identify regulatory risks, and support policy development. Lead day-to-day compliance operations across HMII’s broker-dealer and registered investment adviser activities. Drive strategic compliance initiatives, proactively mitigate regulatory risks, and conduct compliance audits. Monitor client accounts and transactions under various industry standards. Collaborate with internal partners and design training programs for regulatory adherence. The role requires a bachelor's degree, 7+ years of relevant experience, and specific FINRA licenses.

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
• 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

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

Preferred Qualifications

Experience in life insurance, annuities, variable products, and mutual fund compliance is preferred