Original listing text, shown exactly as published by the company.
Key Responsibilities
Suitability Review & Regulatory Oversight
- Review financial service product applications and enrollment forms for suitability in accordance with broker-dealer procedures and FINRA regulations.
- Complete required follow-up with registered personnel, document broker-dealer files, and approve or reject applications as a Registered Principal on behalf of the firm.
- Review financial product replacements, asset allocation recommendations, and suitability determinations to ensure compliance with applicable regulations and firm policies.
- Act as a subject matter expert on suitability matters for field agents, registered representatives, and home office personnel.
Leadership & Team Management
- Lead, coach, and develop a team of Suitability Analysts.
- Establish performance expectations and ensure timely, accurate review of suitability submissions.
- Foster a culture of compliance, accountability, and continuous improvement.
- Support employee development through coaching, training, and performance management.
Surveillance, Reporting & Process Improvement
- Design and maintain surveillance reports to support supervision of account transactions and registered personnel activities.
- Develop and utilize exception reporting tools to identify potential compliance concerns and trends.
- Review, develop, and enhance suitability standards, policies, procedures, and controls.
- Recommend process improvements that strengthen compliance oversight and operational efficiency.
Training & Business Support
- Develop and deliver suitability-related training programs for registered representatives and internal business partners.
- Assist in the development and testing of forms and tools designed to improve field productivity and data collection.
- Provide guidance to registered representatives regarding product suitability, replacement transactions, and asset allocation considerations.
- Partner with Compliance, Operations, Product, and Distribution teams on regulatory initiatives and business projects.
Regulatory Forms & Governance
- Oversee the maintenance and development of regulatory forms and documentation.
- Ensure broker-dealer records are maintained in accordance with regulatory requirements.
- Support audits, examinations, and regulatory inquiries as needed.
Qualifications & Experience
Required
- 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.
Licensing Requirements
- 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.
Preferred
- Experience managing suitability review teams.
- Experience developing surveillance reporting and exception monitoring programs.
- Experience designing and delivering compliance training programs.
Skills & Competencies
- Strong leadership and coaching abilities
- Excellent analytical and critical-thinking skills
- Exceptional written and verbal communication skills
- Strong decision-making and risk assessment capabilities
- Ability to interpret and apply complex regulatory requirements
- Proven ability to influence and collaborate across business functions
- Proficiency with Microsoft Office applications
Additional Information
- Fully remote
- Periodic travel may be required.
Ability to work effectively in a fast-paced, highly regulated environment
Pay Range
- $76,600.00 - $106,450.00/annually
Salary is commensurate to experience, location, etc.
#APP
Horace Mann was founded in 1945 by two Springfield, Illinois, teachers who saw a need for quality, affordable auto insurance for teachers. Since then, we’ve broadened our mission to helping all educators protect what they have today and prepare for a successful tomorrow. And with our broadened mission has come corporate growth: We serve more than 4,100 school districts nationwide, we’re publicly traded on the New York Stock Exchange (symbol: HMN) and we have more than $12 billion in assets.
We’re motivated by the fact that educators take care of our children’s future, and we believe they deserve someone to look after theirs. We help educators identify their financial goals and develop plans to achieve them. This includes insurance to protect what they have today and financial products to help them prepare for their future. Our tailored offerings include special rates and benefits for educators.
EOE/Minorities/Females/Veterans/Disabled. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or protected veteran status…
