Suitability Analyst: FINRA & Compliance Focus

Horace Mann; Springfield (IL); On-site; USD 67,000 - 92,000; Full time

Job summary

Horace Mann seeks a detail-oriented Suitability Analyst to join our Broker-Dealer Compliance team. You will review financial services transactions for suitability and ensure activities align with broker-dealer procedures and FINRA requirements.

You will combine analytical thinking and regulatory knowledge to review applications, research transactions, maintain required documentation, and provide guidance to registered personnel.

Qualifications

• Experience interpreting broker-dealer procedures and FINRA regulations.
• Ability to review applications and transactions for suitability with accuracy.
• Ability to document thoroughly and maintain regulatory records.

Responsibilities

• Review financial services product applications and enrollment forms for suitability per broker-dealer procedures and FINRA regulations.
• Evaluate transaction information to ensure established suitability requirements are met.
• Follow up with registered personnel for additional information or clarification.
• Maintain complete and accurate broker-dealer documentation according to regulatory and firm requirements.
• Support disposition of applications in line with broker-dealer procedures.
• Provide guidance to registered personnel on product suitability and documentation standards.
• Develop surveillance and exception reporting to support supervisory activities.
• Assist in training materials and forms related to broker-dealer suitability.

Skills

Analytical thinking

Attention to detail

Regulatory knowledge

Written communication

Verbal communication

Multitasking

Relationship building

Education

High school diploma or GED

Bachelor's degree preferred

Job description

Horace Mann seeks a detail-oriented Suitability Analyst to join our Broker-Dealer Compliance team. You will review financial services transactions for suitability and ensure activities align with broker-dealer procedures and FINRA requirements.

You will combine analytical thinking and regulatory knowledge to review applications, research transactions, maintain required documentation, and provide guidance to registered personnel.