Suitability Analyst, Broker/Dealer
December 4
Description
• CNO Financial Group is seeking a Suitability Analyst to ensure compliance with financial regulations. • Responsibilities include examining client accounts, conducting suitability reviews, and resolving representative concerns. • Ideal for candidates with strong analytical skills and financial competence.
Requirements
• 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. • Series 4, 53 and 65/66 preferred. • Knowledge of SEC, FINRA, and state insurance rules and regulations. • Understanding of the trade cycle, securities settlement, standard trading workflows, and systems.
Benefits
• medical insurance • dental insurance • vision insurance • 401(k) retirement plan with company match • short-term & long-term disability insurance • Paid time-off and corporate holidays • paid parental leave • company paid life insurance.
Apply NowSimilar Jobs
December 3
Pricing Analyst collaborating with teams to prepare competitive bids for government contracts.
December 1
Collaborate with teams to prepare competitive bids for Federal Government contracts. Pricing Analyst focusing on Department of State, DoD, and USAID contracts.
November 24
Join TestPros as a Cyber Vulnerability Assessment Analyst SME, leading federal cyber security efforts. Manage vulnerability assessments and support security documentation initiatives.
November 22
Join RTX to lead SAP WM/EWM initiatives enhancing digital solutions in their ERP Transformation program.
November 21
Join CNI to support HHS as a HIPAA SME. Utilize your cybersecurity expertise to promote compliance and privacy protections.