Manager, Suitability Review

Horace Mann

Manager of Suitability Review ensuring compliance in financial services at Horace Mann. Leading a team while managing the suitability review process for financial service products.

Posted 6/23/2026full-timeRemote • Illinois • 🇺🇸 United StatesMid-LevelSenior💰 $76,600 - $106,450 per yearWebsite

About the role

Key responsibilities & impact

Manage suitability review process for financial service products.
Oversee a team of analysts and support registered representatives.
Ensure compliance with FINRA regulations and broker-dealer requirements.
Act as a subject matter expert on suitability matters.
Lead, coach, and develop a team of Suitability Analysts.
Establish performance expectations for review of suitability submissions.
Design and maintain surveillance reports for account transactions.
Develop and utilize exception reporting tools for compliance concerns.
Deliver suitability-related training programs for registered representatives and internal partners.
Oversee maintenance and development of regulatory forms and documentation.

Requirements

What you’ll need

Bachelor's degree from an accredited four-year college or university.
5+ years of suitability review experience.
5+ years of securities industry experience, including direct interaction with registered representatives.
Strong understanding of FINRA regulations, suitability standards, supervisory requirements, and broker-dealer operations.
Demonstrated leadership and team management experience.
FINRA Series 6 (or Series 7) required.
FINRA Series 26 (or Series 24) required.
FINRA Series 51 and 53 are required within three months of hire.

Benefits

Comp & perks

Normal office environment.
Periodic travel may be required.

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

suitability reviewexception reportingsurveillance reportscomplianceregulatory formstraining program developmentperformance managementteam managementfinancial service products

Soft Skills

leadershipcoachingteam developmentcommunication

Certifications

FINRA Series 6FINRA Series 7FINRA Series 26FINRA Series 24FINRA Series 51FINRA Series 53