Compliance Specialist, Finance & Banking

Introduction

We’re motivated by the fact that educators take care of our children’s future, and we believe they deserve someone to look after theirs. We help educators identify their financial goals and develop plans to achieve them. This includes insurance to protect what they have today and financial products to help them prepare for their future.

Horace Mann is seeking a knowledgeable and detail-oriented Compliance Specialist to support Enterprise Compliance & Ethics efforts across multiple business segments, including Property & Casualty (P&C), Life & Retirement (L&R), and Individual Supplemental & Group products.

In this role, you will help ensure compliance with federal and state regulations, support product and operational initiatives, and partner across the organization to identify and mitigate compliance risks. The ideal candidate is analytical, collaborative, and passionate about maintaining high ethical and regulatory standards while supporting business growth and operational excellence.

• Develop, communicate, and mature Enterprise Compliance Policies, Programs and Standards for disciplines in the following areas:
  Fraud, Privacy, Information Retention, Money Laundering Office of Foreign Assets Control.
• Support governance of compliance programs through policy oversight, risk assessments, regulatory change management, compliance monitoring, and reporting to leadership to ensure organizational adherence to applicable laws, regulations, and ethical standards.
• Collaborate with legal partners, division led compliance, and internal stakeholders to identify, track and communicate new or changing laws and regulations that have potential to impact company operations, policies, programs, and procedures.
• Assist with information requests from state insurance departments and other regulatory agencies.
• Investigate compliance concerns, policy violations, and ethics-related matters, documenting findings and recommending corrective actions as appropriate.
• Track and facilitate remediation efforts on identified compliance issues, ensuring timely resolution and documentation.
• Coordinate and support incident response activities, business continuity planning, and crisis management efforts, including plan maintenance, exercises, stakeholder communication, and post-event analysis to strengthen organizational resilience.
• Facilitate discussions with key stakeholders to identify greater efficiencies and improvements in compliance processes
• Prepare compliance reports, metrics, dashboards, and presentations for key internal stakeholders and senior leadership.
• Coordinate the development, annual review, and maintenance of new and existing compliance training courses as appropriate
• Reconcile processes/workflows for Enterprise Compliance & Ethics matters (e.g. incident reporting, risk assessments, compliance testing, etc.).
• Prepare materials and participate in Enterprise Compliance Risk & Ethics committee, working group, and other meetings as needed
• Participate in special projects and enterprise initiatives involving regulatory compliance, ethics, governance, and risk management.
• Conduct quality control assessments to evaluate whether procedures, transactions, and documents comply with regulatory and internal standards.
• Review standard operating procedures (SOPs) to help ensure alignment with compliance goals and risk management practices.

• Bachelor’s degree (or advanced degree) in Business, Risk Management, Legal Studies, or a related field preferred.
• 3–5+ years of professional work experience in compliance, risk management, legal, regulatory affairs or audit within the insurance or financial services industry.
• Strong understanding of insurance regulations, compliance principles, corporate governance, and operational risk management. Advanced knowledge in any of the following laws and regulations, strongly preferred: FCRA, OFAC, SOX, CCPA, SEC, FINRA, Patriot Act, AML, IRS, HIPAA, OFAC, etc.
• Industry certifications/designations such as Certified Compliance & Ethics Professional (CCEP), Certified Information Privacy Professional (CIPP), Certified Anti-Money Laundering Specialist (CAMS), Fellow Life Management Institute (FLMI), Chartered Property & Casualty Underwriter (CPCU), Chartered Life Underwriter (CLU), or similar preferred.

• Excellent written and verbal communication skills
• Strong analytical, research, and problem-solving abilities.
• Strong project management, time management, and organizational skills
• Ability to collaborate effectively across departments and explain complex regulatory topics clearly
• Ability to manage multiple priorities and work independently
• High level of integrity, professionalism, and sound judgment

• Hybrid role
• Periodic travel may be required to Springfield, IL office.
• Work during irregular hours may occasionally be necessary
• Must comply with all company policies regarding confidentiality and handling of sensitive information