Suitability Analyst, Broker/Dealer

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

📋 Description

• Evaluate and authorize new and existing client account documentation, trading activities, email communications, and other related security transactions.

• Perform suitability assessments of customer trading activities for direct-to-fund, brokerage, and RIA operations, ensuring adherence to all internal protocols and industry regulations.

• Collaborate with vendors to guarantee that trades are executed in compliance with internal guidelines and industry standards.

• Examine trade and exception reports, taking necessary actions as appropriate.

• Support the onboarding process for new registered representatives and provide continuous operational assistance.

• Address registered representative inquiries by researching details, determining the most effective resolution method, and assessing risks to all involved parties before arriving at a solution.

• Analyze potential resolutions to intricate issues, prioritizing and refining those options.

• Anticipate the need for processes/systems to adapt to evolving business demands or regulatory conditions.

• Develop and uphold a comprehensive understanding of the securities industry, including regulations, markets, products, processes, and operational practices.

⛳️ Requirements

• Master’s degree or equivalent to 12 years of experience in Business and Finance.

• Active series 63 and 65/66 licenses.

• Familiarity with SEC, FINRA, and state insurance laws and regulations.

• Understanding of the trade cycle, securities settlement, standard trading workflows, and systems.

• Proven strong critical thinking, analytical, and organizational abilities.

🏝️ Benefits

• Medical, Dental, and Vision insurance.

• Performance-based bonus or sales incentive.

• 401(k) retirement plan with company matching contributions.

• Short-term and long-term disability insurance.

• Paid time off and 10 corporate holidays.

• Paid parental leave.

• Company-sponsored life insurance.

• Mental and Financial Well-Being Resources.