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 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:
Reviewing and approving client new and existing account documentation, trading activity, email correspondence and other related security transactions.
Conducting suitability review of customer trading activity by ensuring compliance with all internal procedures and industry regulations
Resolving registered representative concerns by researching details, identifying most efficient method of handling the concern.
Evaluating possible solutions to best interest/Suitability challenges that appear on a daily basis, prioritizing, and refining those solutions.
Building and maintaining a broad knowledge of the securities industry (regulatory, markets, products, processes, and operational methodologies)
The Suitability Analyst, Broker -Dealer position is well-suited for you if you:
Can demonstrate excellent attention to detail and applying interpersonal skills.
Exhibit financial competence and an understanding of the financial securities business.
Can work independently, set priorities, meet deadlines, and function in a team environment.
Have strong presentation skills both verbal and in writing and comfortable speaking publicly to a diverse audience.
Can handle technical research and analysis of laws and regulations and apply them to company operations, products, and securities transactions.
Demonstrate strong critical thinking, analytical and interpersonal skills.
What you’ll need:
Bachelor's degree in Business, Finance, or a related field.
At least 8 years of proven experience with investments and in the financial services industry.
FINRA Series 7, 24, 63 Required.
What will set you apart:
Series 53 and 65/66 preferred.
Having knowledge of SEC, FINRA and state insurance rules and regulations.
Knowledge of the trade cycle, securities settlement, standard trading workflows and systems.
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. 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. 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.
Job Type: Full-Time
Additional Locations: Carmel, IN; Chicago, IL; Indianapolis, IN; Philadelphia, PA; Orlando, FL; Birmingham, AL; Milwaukee, WI