[Hiring] Suitability Analyst, Broker/Dealer @CNO Financial Group, Inc.

Role Description

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, delivering high-quality customer service while maintaining and adhering to regulatory standards.

As a Suitability Analyst, Broker -Dealer, your responsibilities will include:

• 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.
• 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 action.
• Assist in the on-boarding new registered representative and provide on-going operational support.
• Identify and analyze customer and firm risk, update compliance as necessary.
• Resolve registered representative concerns by researching details, identifying the most efficient method of handling the concern, and evaluating risks to all parties before resolving.
• Evaluate possible solutions to complex problems, prioritize, and refine those solutions.
• Anticipate processes/systems to meet changing business needs or regulatory requirements.
• Build and maintain a broad knowledge base of the securities industry (regulatory, markets, products, processes, and operational methodologies).
• Educate and train registered representatives by determining needs, providing various alternatives of action, and explaining specifics of each product or service.

The Suitability Analyst, Broker -Dealer position is well-suited for you if you:

• Have the ability to work independently, set priorities, direct deadlines, and function in a team environment.
• Possess strong presentation skills both verbal and in writing, especially to large and diverse audiences.
• Can perform technical research and analysis of laws and regulations and apply them to company operations, products, and securities transactions.
• Demonstrate strong critical thinking, analytical and organizational skills.
• Are open to occasional travel.

Qualifications

• Bachelor’s degree in business, Finance, or 8 years of proven experience with investments and in the financial services industry.
• 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.
• FINRA Series 4, 7, 24, 53.
• Registrations; Series 63 and 65/66 Registration within 90 days in position.

Requirements

• Active series 63 and 65/66.
• Experience with SEC, FINRA and state insurance rules and regulations.
• Knowledge of the trade cycle, securities settlement, standard trading workflows and systems.

Benefits

• Medical insurance.
• Dental insurance.
• Vision insurance.
• 401(k) retirement plan with company match.
• Short-term & long-term disability insurance.
• Paid time-off and corporate holidays.
• Paid parental leave.
• Company paid life insurance.

Company Description

CNO Financial Group, Inc. (NYSE: CNO) secures the future of middle-income America. CNO provides life and health insurance, annuities, financial services and workforce benefits solutions through our family of brands, including Bankers Life, Colonial Penn, Optavise and Washington National. Our customers work hard to save for the future, and we help protect their health, income and retirement needs with 3.3 million policies and more than $38.3 billion in total assets.

We are financially strong and well positioned for continued growth, grounded in our core values of People Focused, Integrity, Customer Driven, and Excellence. We have offices in more than 220 communities in the U.S., including our headquarters in Carmel, Indiana, and corporate offices in Birmingham, Chicago, 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.