Suitability Analyst, Broker/Dealer
CNO Financial Group
full-time
Posted on:
Location Type: Remote
Location: Illinois • United States
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Salary
💰 $81,100 - $121,700 per year
About the role
- Review and approve client new and existing account documentation, trading activity, email correspondence and other related security transactions
- Conduct suitability review of customer trading activity for direct to fund, brokerage and RIA business by ensuring compliance with all internal procedures and industry regulations
- Work closely with vendors to ensure trade is executed in accordance with internal procedures and industry regulations
- Analyze trade and exception reports and take appropriate action
- Assist in the on-boarding new registered representative and provide on-going operational support
- Identify and analyze customer and firm risk, update compliance as necessary
- Resolves registered representative concerns by researching details, identifying most efficient method of handling the concern, and evaluating risks to all parties before resolving
Requirements
- Bachelor’s degree in business, Finance, or 8 years of proven experience with investments and in the financial services industry.
- 5-10 years progressively responsible compliance experience within investments/financial services to include detailed knowledge of the trade cycle, securities settlement, standard trading workflows and systems and specific knowledge of SEC, FINRA and state insurance rules and regulations.
- FINRA Series 4, 7, 24, 53.
- Registrations; Series 63 and 65/66 Registration within 90 days in position.
Benefits
- medical insurance
- dental insurance
- vision insurance
- 401(k) retirement plan with company match
- short-term & long-term disability insurance
- Paid time-off and corporate holidays
- paid parental leave
- company paid life insurance
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
compliancetrading activity analysisrisk analysissuitability reviewsecurities settlementtrading workflowsfinancial analysisdocumentation reviewexception reporting
Soft Skills
problem-solvingcommunicationinterpersonal skillsorganizational skillsanalytical thinking
Certifications
FINRA Series 4FINRA Series 7FINRA Series 24FINRA Series 53Series 63Series 65Series 66