CNO Financial Group · 4 hours ago

Suitability Analyst, Broker/Dealer - REMOTE from any US based location

Chicago, IL

Full-time

Remote

Senior Level, Lead/Staff

$79K/yr - $119K/yr

8+ years exp

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Responsibilities

Examine and approve client new and existing account documentation, trading activity, email correspondence, and other related security transactions.

Conduct suitability reviews of customer trading activity to ensure compliance with all internal procedures and industry regulations.

Address and resolve registered representative concerns by researching details and identifying the most efficient method of handling each concern.

Evaluate and prioritize potential solutions to best interest/suitability challenges that arise daily.

Build and maintain a comprehensive understanding of the securities industry, including regulatory, market, product, process, and operational methodologies.

Qualification

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FINRA Series 7FINRA Series 24FINRA Series 63Financial services experienceSEC regulationsFINRA regulationsTrade cycleSecurities settlement knowledgeTechnical research skills

Required

Bachelor’s degree in business, Finance, or a related field.

At least 8 years of proven experience with investments and in the financial services industry.

FINRA Series 7, 24, and 63 are required.

Demonstrate excellent attention to detail and strong interpersonal skills.

Exhibit financial competence and a thorough understanding of the financial securities business.

Ability to work independently, set priorities, meet deadlines, and function effectively in a team environment.

Possess strong verbal and written presentation skills and be comfortable speaking publicly to a diverse audience.

Capable of conducting technical research and analysis of laws and regulations and applying them to company operations, products, and securities transactions.

Demonstrate strong critical thinking, analytical, and interpersonal skills.