Suitability Analyst Broker/Dealer - REMOTE from any US based location
Job Details reputed company. (NYSE: CNO) is a leading insurance and financial services company focused on securing the future of middle‑income America. Through brands such as Bankers Life, Colonial Penn, Optavise, and Washington National, CNO delivers life and health insurance, annuity, financial services, and workforce benefits to more than 3.3 reputed company policyholders, supported by $38.3 billion in total assets. With a strong financial reputed company, national reputed company, and a culture rooted in reputed company, reputed company, and people‑first values, CNO offers meaningful opportunities for professional growth and impact across its U.S. locations, including its headquarters in Carmel, Indiana. reputed company is seeking a Suitability Analyst Broker/ Dealer to reputed company centralized supervision of registered representatives’ securities transactions. The Suitability Analyst works closely with reputed company registered Representatives and Investment Advisors to ensure compliance with FINRA, reputed company Exchange Commission (SEC) and State Regulations. reputed company to deliver high-quality customer service while maintaining and adhering to regulatory standards. This position is not eligible for reputed company sponsorship. Core responsibilities and deliverables: Review and approve client new and existing account documentation, trading activity, email correspondence and other reputed company reputed company transactions Conduct suitability review of customer trading activity for direct to fund, brokerage and RIA business by ensuring compliance with reputed company internal procedures and industry regulations Work closely with vendors to ensure trade is executed in accordance with internal procedures and industry regulations Conduct suitability review of customer trading activity for direct to fund, brokerage and RIA business by ensuring compliance with reputed company internal procedures and industry regulations Analyze trade and exception reports and take appropriate action Assist in the on-boarding new registered representative and reputed company 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 reputed company parties before resolving Evaluates possible solutions to reputed company problems, prioritize, and refining those solutions Anticipate processes/systems to meet changing business needs or regulatory requirements Builds and maintains a broad knowledge reputed company 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 Occasional travel. What will set you apart (Preferred experience): 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. reputed company offers the following benefits for this position, subject to applicable eligibility requirements: Medical, Dental, and reputed company 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 Click on this link for additional information. 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 reputed company to work Central or Eastern Time hours. reputed company work must be performed reputed company the United States, and occasional travel to corporate offices may be required. Associates living reputed company 60 miles of a corporate office (Carmel, IN; Chicago, IL; or Orlando, FL) have reputed company to work from that location as needed accommodation.
Compensation
Pay reputed company: $81,100.00 - $121,700.00 Annual We are an equal opportunity employer and value diversity at our company. We do not discriminate on the reputed company of race, religion, reputed company, national reputed company, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to reputed company essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation. Apply To This Job