Remote opportunity at
Horace MannSuitability Analyst
Horace Mann is currently hiring a Suitability Analyst to join their Broker-Dealer Compliance team on a full-time basis. In this position, the professional will review financial…
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About This Role
Horace Mann is currently hiring a Suitability Analyst to join their Broker-Dealer Compliance team on a full-time basis. In this position, the professional will review financial transactions to confirm suitability and alignment with FINRA mandates and internal company guidelines. Responsibilities include evaluating enrollment forms, maintaining accurate records, supporting registered personnel, and assisting with surveillance and process enhancement initiatives. Established in 1945 by educators in Springfield, Illinois, Horace Mann provides insurance…
Job Description
Horace Mann is currently hiring a Suitability Analyst to join their Broker-Dealer Compliance team on a full-time basis. In this position, the professional will review financial transactions to confirm suitability and alignment with FINRA mandates and internal company guidelines. Responsibilities include evaluating enrollment forms, maintaining accurate records, supporting registered personnel, and assisting with surveillance and process enhancement initiatives.
Established in 1945 by educators in Springfield, Illinois, Horace Mann provides insurance and financial solutions to personnel across more than 4,100 school districts nationwide. The publicly traded organization manages over $12 billion in assets and focuses on helping teachers secure their financial futures.
This role fits individuals with background knowledge in the brokerage or insurance sectors who possess strong critical thinking and analytical capabilities. Working within a standard office setting, the position may occasionally involve travel.
Responsibilities
- Examine financial product applications and enrollment forms for adherence to regulatory and internal standards
- Evaluate transaction data and supporting documents to verify suitability requirements are satisfied
- Follow up with registered personnel when extra details or clarifications are necessary
- Keep complete and precise broker-dealer records aligned with firm and regulatory rules
- Act as a point of contact for agents concerning product suitability, asset allocation, and replacements
- Communicate professionally with representatives regarding outstanding requirements and questions
- Create and utilize exception reports and surveillance tools to supervise personnel activity
- Help create training materials and update forms to capture transaction data more efficiently
- Participate in testing new forms and system enhancements while identifying process improvement opportunities
Requirements
- Minimum of two years of related business experience within the insurance or brokerage industry
- Possession of FINRA Series 6 or Series 7 license
- Possession of FINRA Series 26 or Series 24 license
- Strong analytical and critical-thinking skills
- Attention to detail and accuracy in documentation
- Written and verbal communication skills
- Ability to interpret and apply procedures and regulatory requirements
- Capacity to manage multiple priorities in a regulated environment
Qualifications
- High school diploma or GED required, four-year college degree preferred
- FINRA Series 51 or 53 license preferred
Core Skills
Benefits
- Bonus compensation eligible
Frequently Asked Questions
What is the salary range for the Suitability Analyst position?
The pay range is between $66,500.00 and $92,000.00, plus a bonus, with exact compensation commensurate to experience and location.
What licenses are required for this role?
Candidates must hold a FINRA Series 6 or Series 7 license, as well as a FINRA Series 26 or Series 24 license.
Is remote work permitted for this position?
The posting specifies a normal office environment with on-site work, and periodic travel may be required.
What is the employment type?
The position is full-time.
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