Suitability Analyst

🔥 0 minutes ago

🌽 Illinois – Remote

🌽 Illinois – Remote

💵 $66.5k - $92k / year

⏰ Full Time

🟢 Junior

🟡 Mid-level

🧐 Analyst

🚫👨‍🎓 No degree required

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

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Horace Mann

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 1945

🛡️ Insurance

💸 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

• Review financial services product applications and enrollment forms for suitability under broker-dealer procedures and FINRA regulations. • Evaluate transaction information and supporting documentation. • Follow up with registered personnel when additional information or clarification is required. • Maintain complete and accurate broker-dealer documentation. • Support application disposition under established procedures. • Advise agents and registered personnel on product suitability, asset allocation, product replacements, and transaction documentation. • Communicate outstanding requirements and suitability-related questions to registered representatives. • Develop and use exception reports and surveillance systems. • Identify transactions or activities requiring additional review. • Partner with leadership on suitability and broker-dealer compliance activities. • Assist with training materials for registered representatives. • Support development and testing of forms and system enhancements. • Provide systems support for suitability processes and documentation. • Identify opportunities to improve processes, documentation, and representative experience while maintaining regulatory standards.

🎯 Requirements

• H.S. Diploma or GED required; Four-year college degree preferred. • 2+ years of related business experience within the insurance or brokerage industry. • Strong analytical and critical-thinking skills. • Excellent attention to detail and commitment to accurate documentation. • Strong written and verbal communication skills. • Ability to interpret and consistently apply procedures and regulatory requirements. • Ability to manage multiple priorities in a highly regulated environment. • FINRA Series 6 or Series 7 required. • FINRA Series 26 or Series 24 required. • Series 51/53 preferred. • Suitability and transaction analysis. • Broker-dealer operations and compliance. • Regulatory documentation and recordkeeping. • Surveillance and exception reporting. • Problem-solving and research. • Organization and prioritization. • Collaboration and relationship building. • Continuous improvement.

🏖️ Benefits

• Bonus • Periodic travel may be required

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