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Horace Mann

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Manager, Suitability Review

ManagerManagerFull TimeRemoteSeniorTeam 1,001-5,000Since 1945H1B SponsorCompany SiteLinkedIn

Location

Illinois

Posted

3 days ago

Salary

$76.6K - $106.5K / year

Seniority

Senior

Bachelor Degree5 yrs expEnglish

Job Description

Manager, Suitability Review

Horace Mann

• Manage suitability review process for financial service products. • Oversee a team of analysts and support registered representatives. • Ensure compliance with FINRA regulations and broker-dealer requirements. • Act as a subject matter expert on suitability matters. • Lead, coach, and develop a team of Suitability Analysts. • Establish performance expectations for review of suitability submissions. • Design and maintain surveillance reports for account transactions. • Develop and utilize exception reporting tools for compliance concerns. • Deliver suitability-related training programs for registered representatives and internal partners. • Oversee maintenance and development of regulatory forms and documentation.

Job Requirements

  • Bachelor's degree from an accredited four-year college or university.
  • 5+ years of suitability review experience.
  • 5+ years of securities industry experience, including direct interaction with registered representatives.
  • Strong understanding of FINRA regulations, suitability standards, supervisory requirements, and broker-dealer operations.
  • Demonstrated leadership and team management experience.
  • FINRA Series 6 (or Series 7) required.
  • FINRA Series 26 (or Series 24) required.
  • FINRA Series 51 and 53 are required within three months of hire.

Benefits

  • Normal office environment.
  • Periodic travel may be required.

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