Manager, Suitability Review

This is a fully remote position, open to applicants in Illinois.

📋 Description

• Oversee the suitability review process for financial service products.

• Supervise a team of analysts while providing support to registered representatives.

• Ensure adherence to FINRA regulations and broker-dealer standards.

• Serve as a subject matter expert in suitability issues.

• Lead, mentor, and enhance the skills of a team of Suitability Analysts.

• Set performance expectations for the review of suitability submissions.

• Create and manage surveillance reports for account transactions.

• Develop and implement exception reporting tools for compliance-related issues.

• Provide suitability training programs for registered representatives and internal stakeholders.

• Oversee the upkeep and development of regulatory forms and documentation.

⛳️ Requirements

• A bachelor's degree from an accredited four-year institution.

• More than 5 years of experience in suitability review.

• Over 5 years of experience in the securities industry, including direct engagement with registered representatives.

• Solid understanding of FINRA regulations, suitability standards, supervisory requirements, and broker-dealer operations.

• Proven leadership and team management capabilities.

• FINRA Series 6 (or Series 7) certification is mandatory.

• FINRA Series 26 (or Series 24) certification is required.

• FINRA Series 51 and 53 certifications must be obtained within three months of hire.

🏝️ Benefits

• Standard office environment.

• Occasional travel may be necessary.