Suitability Analyst
Horace Mann is seeking a detail-oriented and knowledgeable Suitability Analyst to join our Broker-Dealer Compliance team. In this role, you'll help protect our clients and support our registered representatives by reviewing financial services transactions for suitability and ensuring activity is handled in accordance with broker-dealer procedures and FINRA requirements.
You'll combine analytical thinking, regulatory knowledge, and strong relationship-building skills to review applications, research transactions, maintain required documentation, and provide guidance to registered personnel. You'll also contribute to surveillance, training, forms, and process improvements that strengthen our overall supervisory program.
This is an excellent opportunity for someone with insurance or brokerage experience who enjoys working at the intersection of financial services, regulatory compliance, and client protection.
Key Responsibilities
Suitability & Transaction Review
- Review financial services product applications and enrollment forms for suitability in accordance with broker-dealer procedures and FINRA regulations.
- Evaluate transaction information and supporting documentation to ensure established suitability requir
