Suitability Analyst, Broker/Dealer
CNO Financial Group
full-time
Posted on:
Location Type: Hybrid
Location: Chicago • 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
- Evaluates possible solutions to complex problems, prioritize, and refining those solutions
- Anticipate processes/systems to meet changing business needs or regulatory requirements
- Builds and maintains a broad knowledge base of the securities industry (regulatory, markets, products, processes, and operational methodologies)
- Educates and trains registered representatives by determining needs, providing various alternatives of action, and explaining specifics of each product or service
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 settlementtrade cycle knowledgeoperational supportproblem solvingprocess improvement
Soft Skills
communicationinterpersonal skillsanalytical thinkingprioritizationtrainingcustomer serviceconflict resolution
Certifications
Bachelor’s degreeFINRA Series 4FINRA Series 7FINRA Series 24FINRA Series 53Series 63 RegistrationSeries 65 RegistrationSeries 66 Registration