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

CNO Financial Group, Inc.•Chicago, IL

2d•Remote

About The Position

CNO Financial Group is seeking a Suitability Analyst 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. Able to deliver high-quality customer service while maintaining and adhering to regulatory standards. As a Suitability Analyst, Broker -Dealer, your responsibilities will include: 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 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 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 The Suitability Analyst, Broker -Dealer position is well-suited for you if you: Ability to work independently, set priorities, directs deadlines, and function in a team environment. Strong presentation skills both verbal and in writing, especially to large and diverse audiences. Ability to perform technical research and analysis of laws and regulations and apply them to company operations, products, and securities transactions. Demonstrated strong critical thinking, analytical and organizational skills. Occasional travel.

Requirements

Bachelor’s degree in business, Finance, or 8 years of proven experience with investments and in the financial services industry.
5-10 years progressively responsible compliance experience within investments/financial services to include detailed knowledge of the trade cycle, securities settlement, standard trading workflows and systems and specific knowledge of SEC, FINRA and state insurance rules and regulations.
FINRA Series 4, 7, 24, 53. Registrations; Series 63 and 65/66 Registration within 90 days in position.
Ability to work independently, set priorities, directs deadlines, and function in a team environment.
Strong presentation skills both verbal and in writing, especially to large and diverse audiences.
Ability to perform technical research and analysis of laws and regulations and apply them to company operations, products, and securities transactions.
Demonstrated strong critical thinking, analytical and organizational skills.
Occasional travel.

Nice To Haves

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.

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
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
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