Suitability Analyst

The Suitability Analyst will review financial service product applications and enrollment forms for suitability as described by broker-dealer procedures and FINRA regulations.

• Complete applicable follow-up with registered personnel, as needed, document broker-dealer files in accordance with regulatory requirements, then accepts or withdraws applications as a Registered Principal on behalf of the firm.
• Act as a resource for the firm and agent/registered personnel regarding product suitability, asset allocation choices and any/all financial service product replacements.
• Develop and utilize exception reports and surveillance systems to assist the firm in the supervision of registered as well as non­registered personnel.
• Assist in the development of training materials for the firm's registered representatives related to broker-dealer suitability activities.
• Assist with the development of new forms to enable contract information to be obtained in a more efficient manner by the field. This in-turn increases agent productivity. This responsibility includes the testing of those new forms.

Job Requirements:

• Four year college degree required
• 2+ years related business experience in the insurance or brokerage industry.
• Licensing requirements: FINRA Series 6 (or Series 7) and Series 26 (or Series 24) required. Series 51/53 and required within 3 months of date of hire
• Knowledge of Microsoft Office

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