Suitability Analyst

23 hours, 2 minutes ago
Full-time
Junior
Finance and Accounting
Horace Mann

Horace Mann

Horace Mann is the largest financial services company dedicated to helping educators and community servants achieve lifelong financial success. They offer a full range of tailored insurance and financial products, including auto, home, and life insuran...

Insurance
1K-5K
Founded 1945

Description

  • Review financial services applications, enrollment forms, transactions, and supporting documentation for suitability.
  • Follow up with registered personnel to obtain missing information or clarification.
  • Maintain accurate broker-dealer records and support application disposition.
  • Advise agents and registered representatives on suitability, asset allocation, product replacements, and documentation requirements.
  • Develop and use exception reports and surveillance systems to identify activity requiring review.
  • Support regulatory and supervisory compliance activities.
  • Assist with training materials, forms, system enhancements, and suitability-process support.
  • Identify and implement improvements to compliance processes, documentation, and representative experience.

Requirements

  • High school diploma or GED required; four-year college degree preferred.
  • 2+ years of related experience in the insurance or brokerage industry.
  • FINRA Series 6 or Series 7 license required.
  • FINRA Series 26 or Series 24 license required.
  • Series 51/53 licenses preferred.
  • Strong analytical, critical-thinking, research, and problem-solving skills.
  • Excellent attention to detail and commitment to accurate documentation.
  • Strong written and verbal communication skills.
  • Ability to interpret and apply procedures and regulatory requirements while managing multiple priorities.
  • Experience with suitability analysis, broker-dealer compliance, regulatory recordkeeping, surveillance, or exception reporting preferred.

Benefits

  • Salary range of $66,500–$92,000 plus bonus.
  • Compensation varies based on experience and location.
  • Periodic travel may be required.
  • Special rates and benefits for educators.

Interested in this position?

Apply directly on the company website

Apply Now

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