Suitability Analyst Broker/Dealer - REMOTE from any US based location
About The Position
CNO Financial Group is seeking a Suitability Analyst Broker/Dealer to provide centralized supervision of registered representatives’ securities transactions. The Suitability Analyst works closely with all registered Representatives and Investment Advisors to ensure compliance with FINRA, Security Exchange Commission (SEC) and State Regulations. The role requires the ability to deliver high-quality customer service while maintaining and adhering to regulatory standards. This position is not eligible for visa sponsorship. CNO supports a flexible work environment and encourages Associates to work where they are most productive. This position may work fully remote from any US-based location, provided they are able to work Central or Eastern Time hours. All work must be performed within the United States, and occasional travel to corporate offices may be required. Associates living within 60 miles of a corporate office (Carmel, IN; Chicago, IL; or Orlando, FL) have access to work from that location as needed accommodation.
Requirements
- Provide centralized supervision of registered representatives’ securities transactions
- Ensure compliance with FINRA, Security Exchange Commission (SEC) and State Regulations
- Deliver high-quality customer service while maintaining and adhering to regulatory standards
- Work performed within the United States
- Able to work Central or Eastern Time hours
Nice To Haves
- 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
Responsibilities
- 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
Benefits
- 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
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
