Suitability Analyst Broker/Dealer - REMOTE from any US based location

Job Details

CNO Financial Group, Inc. (NYSE: CNO) is a leading insurance and financial services company focused on securing the future of middle‑income America. Through brands such as Bankers Life, Colonial Penn, Optavise, and Washington National, CNO delivers life and health insurance, annuity, financial services, and workforce benefits to more than 3.3 million policyholders, supported by $38.3 billion in total assets.

With a strong financial foundation, national presence, and a culture rooted in integrity, excellence, and people‑first values, CNO offers meaningful opportunities for professional growth and impact across its U.S. locations, including its headquarters in Carmel, Indiana.

CNO Financial Group is seeking a Suitability Analyst Broker/ Dealer to provide centralized supervision of registered representatives’ securities transactions. The Suitability Analyst works closely with all registered Representatives and Investment Advisors to ensure compliance with FINRA, Security Exchange Commission (SEC) and State Regulations. Able to deliver high-quality customer service while maintaining and adhering to regulatory standards.

This position is not eligible for visa sponsorship.

Core responsibilities and deliverables:

• Review and approve client new and existing account documentation, trading activity, email correspondence and other related security transactions
• Conduct suitability review of customer trading activity for direct to fund, brokerage and RIA business by ensuring compliance with all internal procedures and industry regulations
• Work closely with vendors to ensure trade is executed in accordance with internal procedures and industry regulations
• Conduct suitability review of customer trading activity for direct to fund, brokerage and RIA business by ensuring compliance with all internal procedures and industry regulations
• Analyze trade and exception reports and take appropriate action
• Assist in the on-boarding new registered representative and provide on-going operational support
• Identify and analyze customer and firm risk, update compliance as necessary
• Resolves registered representative concerns by researching details, identifying most efficient method of handling the concern, and evaluating risks to all parties before resolving
• Evaluates possible solutions to complex problems, prioritize, and refining those solutions
• Anticipate processes/systems to meet changing business needs or regulatory requirements
• Builds and maintains a broad knowledge base of the securities industry (regulatory, markets, products, processes, and operational methodologies)
• Educates and trains registered representatives by determining needs, providing various alternatives of action, and explaining specifics of each product or service
• Occasional travel.

What will set you apart (Preferred experience):

• Master’s degree or equivalent to 12 years’ experience in Business and finance.
• Active series 63 and 65/66
• Experience with SEC, FINRA and state insurance rules and regulations.
• Knowledge of the trade cycle, securities settlement, standard trading workflows and systems.
• Demonstrated strong critical thinking, analytical and organizational skills.

CNO Financial Group offers the following benefits for this position, subject to applicable eligibility requirements:

• Medical, Dental, and Vision insurance
• Performance-based bonus or sales incentive
• 401(k) retirement plan with company match
• Short-term & long-term disability insurance
• Paid time off and 10 corporate holidays
• Paid parental leave
• Company-paid life insurance
• Mental & Financial Well-Being Resources
   

Click on this link for additional information.

CNO supports a flexible work environment and encourages Associates to work where they are most productive. This position may work fully remote from any US-based location, provided they are able to work Central or Eastern Time hours. All work must be performed within the United States, and occasional travel to corporate offices may be required. Associates living within 60 miles of a corporate office (Carmel, IN; Chicago, IL; or Orlando, FL) have access to work from that location as needed accommodation.

Compensation

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.