Manager, Suitability Review

🔥 0 minutes ago

🌽 Illinois – Remote

🌽 Illinois – Remote

💵 $76.6k - $106.5k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

👔 Manager

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

Apply Now

Find Similar Remote Jobs

Receive Emails For Remote Jobs

📊 Check your resume score for this job

Improve your chances of getting an interview by checking your resume score before you apply.

Upload Resume

Horace Mann

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 1945

💸 Finance

📚 Education

Insurance • Finance • Education

Horace Mann is a company that provides comprehensive insurance and financial solutions tailored for educators and public sector workers. The company offers a wide range of insurance options including auto, home, renters, liability, life, and supplemental insurance. In addition to insurance, Horace Mann provides retirement and financial strategies, such as 529 College Savings Plans, investment management, and student loan solutions designed specifically to help educators. They are committed to supporting educators through various programs, workshops, webinars, and partnership initiatives that aid in professional and personal financial wellness. Horace Mann is recognized for its strong financial stability and ethical governance practices, ensuring security and privacy for its nearly one million educator clients across the nation.

📋 Description

• Manage suitability review process for financial service products. • Oversee a team of analysts and support registered representatives. • Ensure compliance with FINRA regulations and broker-dealer requirements. • Act as a subject matter expert on suitability matters. • Lead, coach, and develop a team of Suitability Analysts. • Establish performance expectations for review of suitability submissions. • Design and maintain surveillance reports for account transactions. • Develop and utilize exception reporting tools for compliance concerns. • Deliver suitability-related training programs for registered representatives and internal partners. • Oversee maintenance and development of regulatory forms and documentation.

🎯 Requirements

• Bachelor's degree from an accredited four-year college or university. • 5+ years of suitability review experience. • 5+ years of securities industry experience, including direct interaction with registered representatives. • Strong understanding of FINRA regulations, suitability standards, supervisory requirements, and broker-dealer operations. • Demonstrated leadership and team management experience. • FINRA Series 6 (or Series 7) required. • FINRA Series 26 (or Series 24) required. • FINRA Series 51 and 53 are required within three months of hire.

🏖️ Benefits

• Normal office environment. • Periodic travel may be required.