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    Suitability Analyst Broker/Dealer Chicago, Illinois - Colonial Penn Life Insurance

    Colonial Penn Life Insurance
    Colonial Penn Life Insurance Chicago, United States

    2 weeks ago

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    Description

    Description
    *Position at CNO Financial Group, Inc.

    Suitability Analyst Broker/Dealer
    We are seeking a Suitability Analyst whom

    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 representatives 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.


    Responsibilities
    :
    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

    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

    Assist in the on-boarding new registered representative and provide on-going operational support

    Resolves registered representative concerns by researching details, identifying most efficient method of handling the concern, and evaluating risks to all parties before resolving and explaining specifics of each product of service

    Evaluates possible solutions to complex problems, prioritizing, and refining those solutions

    Builds and maintains a broad knowledge base of the securities industry (regulatory, markets, products, processes, and operational methodologies)

    Other related duties as assigned

    **Job Requirements**
    :
    FINRA Series 7, 24 required, 53 preferred. Registrations; Series 63 and 65/66 obtained within 90 days in position required.

    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.

    CNO Financial Group is pursuing a hybrid working model.

    Our associates will have access to come into their affiliated Office (Carmel, Chicago or Philadelphia) up to 2 days/week, and work from home up to 3 days/week.

    To ensure accessibility to our corporate campuses, we ask that candidates reside within a 60-mile radius of the position location.

    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 is a holding company that provides health and life insurance, as well as retirement solutions, to middle-income Americans through its family of established insurance brands: Bankers Life, Colonial Penn and Washington National.

    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, 5,000 exclusive agents and 4,000 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 w e are grounded in our core values of Diversity, Equity & Inclusion (DE&I); Integrity, Customer Focus, Excellence, and Teamwork.

    At CNO Financial Group, were always looking forwardto 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
    CNO Financial is an Equal Opportunity Employer and Affirmative Action Employer.

    For more information, please click the following link:


    As you explore job openings at CNO, please keep in mind that CNO will never ask you to provide payment-related information at any part of the employment application process.

    And CNO will communicate with you only through emails that are sent from a or email address.
    If you receive an email purporting to be from CNO that asks for payment-related information or any other personal information, please contact law enforcement and report the email to
    **Opt Out of Sale


    Other**You also have the right to submit an opt out request form to direct us not to share other forms of personal information with third parties in a manner considered to be a sale under the CCPA.

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