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CNO Financial Group Suitability Analyst Broker/Dealer - REMOTE from any US based location in central or eastern time zones in Chicago, Illinois

CNO Financial Group’s Consumer Unit is hiring a Suitability Analyst to support and delivers high quality customer service while maintaining and adhering to regulatory standards and best practices. The Suitability Analyst is responsible for centralized supervision of registered representative’s securities transactions. The Suitability Analyst works closely with all Registered Representatives, Investment Advisors and Associate Persons of the B/D and RIA to ensure compliance with FINRA, SEC and State Regulations. The ideal candidate possesses excellent attention to detail, communication skills, financial background and understanding of the financial securities business.

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 trades are 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, prioritizing, 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.

Qualified candidates will have:

  • FINRA Series 4, 7, 24, 53. Registrations; Series 7 & 63 REQUIRED and 24 registration within 90 days in position.

  • Bachelor's degree in Business, Finance.

  • 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 Demonstrated strong critical thinking, analytical and organizational skills.

  • Ability to work independently, set priorities, manages 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.

  • Occasional travel

At this time, CNO is not mandating its associates to be vaccinated against COVID-19 as a condition of employment. However, this is an evolving situation, in the future CNO may require its associates to be vaccinated as a condition of employment, subject to reasonable accommodations required by applicable law.

CNO Financial Group offices reopened in April 2022 and we will be pursuing a hybrid working model. Associates who live within a 60 mile radius of a corporate office (Birmingham, Carmel, Chicago, Philadelphia, Orlando and Milwaukee) will have access to come into that Office up to 2 days/week, and work from home at least 3 days/week. This role is full time work from home (WFH), also known as Remote. This role can be performed from any US based location within the central or eastern time zone. Work cannot be performed from outside of the United States.

CNO provides life and health insurance, annuities, financial services, and workforce benefits solutions through our family of brands and supported by our associates and agents. Our customers work hard to save for the future, and we help protect their health, income and retirement needs with 3.2 million policies and more than $35 billion in total assets. Our 3,400 associates, 8,600 exclusive agents and independent partner agents guide individuals, families and businesses through a lifetime of financial decisions.

We are financially strong and well positioned for continued growth, and we are grounded in our core values of Diversity, Equity & Inclusion (DE&I); Integrity, Customer Focus, Excellence, and Teamwork. We have offices in more than 260 communities in the U.S., including our headquarters in Carmel, Indiana, and corporate offices in Birmingham, Chicago, Philadelphia, Orlando and Milwaukee.

At CNO Financial Group, we’re always looking forward—to the security and stability we help create for our insurance brands’ customers, and the growth we create within our own company. We're looking for ambitious people who want to do more. We'll provide you with opportunities to grow your skills through challenging professional experiences.

If you're looking for a culture that encourages development, helps you reach your potential, and rewards you for your contribution, then CNO Financial Group is right for you. For more information, visit CNOinc.com.

ReqID: POS-20499

Category: Finance

Job Type: Full-Time

Additional Locations: Carmel, IN; Indianapolis, IN; Philadelphia, PA; Orlando, FL; Birmingham, AL; Milwaukee, WI

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