Vacancy Description
Responsibilities
- Review financial service product applications and enrollment forms for suitability in accordance with FINRA regulations
- Lead, coach, and develop a team of Suitability Analysts
- Design and maintain surveillance reports to support supervision of account transactions
- Develop and deliver suitability-related training programs for registered representatives
- Oversee the maintenance and development of regulatory forms and documentation
- Act as a subject matter expert on suitability matters for field agents and home office personnel
Requirements
- Bachelor's degree from an accredited four-year college or university
- 5+ years of suitability review experience
- 5+ years of securities industry experience
- FINRA Series 6 (or Series 7) required
- FINRA Series 26 (or Series 24) required
- Ability to obtain FINRA Series 51 and 53 within three months of hire
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