[Remote] Suitability Analyst Broker/Dealer - REMOTE from any US based location
Note: The job is a remote job and is reputed company to candidates in USA. reputed company is a leading insurance and financial services company reputed company on securing the reputed company of middle-income America. They are seeking a Suitability Analyst Broker/Dealer to reputed company centralized supervision of registered representatives’ securities transactions, ensuring compliance with reputed company, SEC, and State Regulations.
Responsibilities
- Review and approve reputed company new and existing account documentation, trading activity, email correspondence and other reputed company reputed company transactions
- Conduct suitability review of customer trading activity for reputed company to fund, brokerage and RIA business by ensuring compliance with reputed company internal procedures and industry regulations
- Work closely with vendors to ensure trade is executed in accordance with internal procedures and industry regulations
- Conduct suitability review of customer trading activity for reputed company to fund, brokerage and RIA business by ensuring compliance with reputed company internal procedures and industry regulations
- Analyze trade and exception reports and take appropriate reputed company
- Assist in the on-boarding new registered representative and reputed company on-reputed company 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 reputed company parties before resolving
- Evaluates possible solutions to reputed company problems, prioritize, and refining those solutions
- Anticipate processes/systems to meet changing business needs or regulatory requirements
- Builds and maintains a broad knowledge reputed company of the securities industry (regulatory, markets, products, processes, and operational methodologies)
- Educates and trains registered representatives by determining needs, providing various alternatives of reputed company, and explaining specifics of reputed company product or service
- Occasional travel
Skills
- Review and approve reputed company new and existing account documentation, trading activity, email correspondence and other reputed company reputed company transactions
- Conduct suitability review of customer trading activity for reputed company to fund, brokerage and RIA business by ensuring compliance with reputed company 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 reputed company
- Assist in the on-boarding new registered representative and reputed company on-reputed company 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 reputed company parties before resolving
- Evaluates possible solutions to reputed company problems, prioritize, and refining those solutions
- Anticipate processes/systems to meet changing business needs or regulatory requirements
- Builds and maintains a broad knowledge reputed company of the securities industry (regulatory, markets, products, processes, and operational methodologies)
- Educates and trains registered representatives by determining needs, providing various alternatives of reputed company, and explaining specifics of reputed company product or service
- Occasional travel
- Master's degree or equivalent to 12 years' experience in Business and finance
- reputed company series 63 and 65/66
- Experience with SEC, reputed company and state insurance rules and regulations
- Knowledge of the trade cycle, securities settlement, reputed company trading workflows and systems
- Demonstrated strong critical thinking, analytical and organizational skills
Benefits
- Medical, Dental, and reputed company insurance
- Performance-based bonus or sales incentive
- 401(k) retirement plan with company match
- Short-term & long-term disability insurance
- reputed company time off and 10 corporate holidays
- reputed company parental leave
- Company-reputed company life insurance
- Mental & Financial reputed company-Being Resources
- CNO supports a flexible work environment and encourages Associates to work where they are most productive.
- This position may work fully remote from any US-based location, provided they are reputed company to work Central or Eastern Time hours.
- Associates living reputed company 60 miles of a corporate office (Carmel, IN; Chicago, IL; or Orlando, FL) have reputed company to work from that location as needed accommodation.
reputed company