Manager, Suitability Review

Responsibilities

• Review financial service product applications and enrollment forms for suitability in accordance with FINRA regulations
• Lead, coach, and develop a team of Suitability Analysts
• Design and maintain surveillance reports to support supervision of account transactions
• Develop and deliver suitability-related training programs for registered representatives
• Oversee the maintenance and development of regulatory forms and documentation
• Act as a subject matter expert on suitability matters for field agents and home office personnel

Requirements

• Bachelor's degree from an accredited four-year college or university
• 5+ years of suitability review experience
• 5+ years of securities industry experience
• FINRA Series 6 (or Series 7) required
• FINRA Series 26 (or Series 24) required
• Ability to obtain FINRA Series 51 and 53 within three months of hire
• Strong understanding of FINRA regulations and broker-dealer operations

Preferred Qualifications

• Experience managing suitability review teams
• Experience developing surveillance reporting and exception monitoring programs
• Experience designing and delivering compliance training programs

About the Company

Horace Mann serves more than 4,100 school districts nationwide, helping educators protect what they have today and prepare for a successful tomorrow through insurance and financial products.