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Remote Compliance Examiner - Broker-Dealer; FINRA/SEC
Remote / Online - Candidates ideally in
Columbus, Franklin County, Ohio, 43224, USA
Listed on 2026-07-29
Columbus, Franklin County, Ohio, 43224, USA
Listing for:
Horace Mann
Remote/Work from Home
position Listed on 2026-07-29
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
Horace Mann is seeking a Compliance Examiner – Broker Dealer to conduct on-site and remote examinations, review client files, trade blotters, and compliance materials. The role emphasizes risk identification, reporting, and collaboration with the Chief Compliance Officer.
The candidate will travel 80-90% across branches, supervising regulatory adherence and ensuring timely remediation. A FINRA Series 7/24 license and 3–5 years of related experience are required.
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