Suitability Analyst, Broker/Dealer

CNO Financial Group

Suitability Analyst providing supervision of registered representatives’ securities transactions for CNO Financial Group. Ensuring compliance with FINRA and SEC regulations while maintaining high-quality customer service.

Posted 7/1/2026full-timeRemote • Illinois • 🇺🇸 United StatesSeniorLead💰 $81,100 - $121,700 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in compliance with SEC, FINRA, and state insurance regulations, along with strong analytical and critical thinking skills to assess trading activities and manage risks effectively.

Highest-signal resume keywords

Master's Degree In Business And FinanceActive Series 63Active Series 65/66Experience With SEC And FINRA RegulationsKnowledge Of Trade Cycle And Securities Settlement

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Suitability ReviewTrading Activity AnalysisRisk Identification And AnalysisOperational SupportCompliance Procedures

Soft Skills

Critical ThinkingAnalytical SkillsOrganizational Skills

Certifications & Qualifications

Series 63Series 65Series 66

Industry Keywords

Securities SettlementTrading WorkflowsInternal ProceduresRegistered Representative SupportCustomer Risk Analysis

About the role

Key responsibilities & impact

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

What you’ll need

Master’s degree or equivalent to 12 years’ experience in Business and finance.
Active series 63 and 65/66
Experience with SEC, FINRA and state insurance rules and regulations.
Knowledge of the trade cycle, securities settlement, standard trading workflows and systems.
Demonstrated strong critical thinking, analytical and organizational skills.

Benefits

Comp & perks

Medical, Dental, and Vision insurance
Performance-based bonus or sales incentive
401(k) retirement plan with company match
Short-term & long-term disability insurance
Paid time off and 10 corporate holidays
Paid parental leave
Company-paid life insurance
Mental & Financial Well-Being Resources