Understand and adhere to compliance standards.
April 06, 2023
Support advisors by providing guidance on RIA policy and procedures questions.
August 27, 2022
Review personal trading transactions and notify agents of any discrepancies.
September 09, 2022
Communicate findings from oversight activities to the Registered Funds Chief Compliance Officer and/or a delegate or pertinent Committees via summary memorandum or reporting.
November 12, 2022
File 13F quarterly reports.
December 27, 2022
Answers incoming phone calls from Horace Mann Clients, registered representatives, investment adviser representatives and questions pertaining to brokerage/investment management operations.
February 09, 2023
Prepare and present quarterly summaries.
February 25, 2023
Stay abreast of regulatory changes, industry compliance developments and policy changes.
April 11, 2023
Manage Information Barrier process and restricted securities watchlist.
April 22, 2023
Enters and processes securities orders from clients or representatives.
May 13, 2023