Suitability & Regulatory Analyst

ViziRecruiter,LLC.; United States; Remote; USD 65,000 - 90,000; Full time

Job summary

Horace Mann is seeking a detail-oriented Suitability Analyst to join our Broker-Dealer Compliance team. You will review financial services transactions for suitability and ensure activity aligns with FINRA requirements.

You will combine regulatory knowledge with analytical skills to document thoroughly and support registered personnel, with opportunities to contribute to surveillance, training, and process improvements in a highly regulated environment.

Qualifications

• H.S. Diploma or GED required; Four-year college degree preferred.
• 2+ years of related business experience within the insurance or brokerage industry.
• Strong analytical and critical-thinking skills.
• Excellent attention to detail and commitment to accurate documentation.
• Strong written and verbal communication skills.
• Ability to interpret and consistently apply procedures and regulatory requirements.
• Ability to manage multiple priorities in a highly regulated environment.

Responsibilities

• Suitability & Transaction Review: review applications for suitability per broker-dealer procedures and FINRA.
• Evaluate transaction information and supporting docs to meet established requirements.
• Follow up with registered personnel for clarification as needed.
• Maintain broker-dealer documentation in compliance with regulatory standards.
• Support disposition of applications per broker-dealer procedures.
• Registered Representative Support: advise agents on product suitability and documentation.
• Communicate clearly with registered personnel on outstanding requirements.
• Surveillance & Regulatory Support: develop reports supporting supervision.
• Identify transactions needing additional review and keep records accurate.
• Training, Forms & Process Improvement: help develop training materials and new forms.
• Participate in testing forms and system enhancements; provide systems support.

Skills

Suitability analysis

Regulatory compliance

Analytical thinking

Attention to detail

Written communication

Verbal communication

Organization

Education

HS Diploma or GED

College degree preferred

Job description

Horace Mann is seeking a detail-oriented Suitability Analyst to join our Broker-Dealer Compliance team. You will review financial services transactions for suitability and ensure activity aligns with FINRA requirements.

You will combine regulatory knowledge with analytical skills to document thoroughly and support registered personnel, with opportunities to contribute to surveillance, training, and process improvements in a highly regulated environment.