Suitability Analyst, Broker/Dealer

🔥 13 hours ago

🌽 Illinois – Remote

🌽 Illinois – Remote

💵 $81.1k - $121.7k / year

⏰ Full Time

🟠 Senior

🔴 Lead

🧐 Analyst

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CNO Financial Group

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 1979

💸 Finance

⚕️ Healthcare Insurance

Finance • Healthcare Insurance

CNO Financial Group is a financial services company primarily focused on insurance solutions for individuals and businesses. The company emphasizes helping communities and people by providing essential financial products such as life insurance, annuities, and health insurance through its subsidiaries like Bankers Life and Colonial Penn Life Insurance Company. CNO Financial positions itself as a company that values customer experience, corporate responsibility, and sustainability. It is also committed to creating a supportive and diverse work environment for its employees, offering numerous career growth opportunities and work-life balance. The company operates nationwide, with a significant presence in life and health insurance markets.

📋 Description

• 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 • 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

🎯 Requirements

• 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.

🏖️ Benefits

• Medical, Dental, and Vision 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