Suitability Analyst
Job Description
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 non-registered 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.
- 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 nonÂregistered 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:
- 2+ years related business experience in the insurance or brokerage industry.
- Four year college degree required
- Licensing requirements: FINRA Series 6 (or Series 7) ,Series 26 (or Series 24) and Series 51/53Â required within 3 months of date of hire
- Knowledge of Microsoft Office
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Horace Mann was founded in 1945 by two Springfield, Illinois, teachers who saw a need for quality, affordable auto insurance for teachers. Since then, we’ve broadened our mission to helping all educators protect what they have today and prepare for a successful tomorrow. And with our broadened mission has come corporate growth: We serve more than 4,100 school districts nationwide, we’re publicly traded on the New York Stock Exchange (symbol: HMN) and we have more than $12 billion in assets.
We’re motivated by the fact that educators take care of our children’s future, and we believe they deserve someone to look after theirs. We help educators identify their financial goals and develop plans to achieve them. This includes insurance to protect what they have today and financial products to help them prepare for their future. Our tailored offerings include special rates and benefits for educators.
EOE/Minorities/Females/Veterans/Disabled. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or protected veteran status
For applicants that are California residents, please review our California Consumer Privacy Notice
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Date Posted
06/23/2023
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