Suitability Analyst

The role

The Suitability Analyst reviews financial services transactions for suitability and ensures activity follows broker-dealer procedures and FINRA requirements. This role supports registered representatives and contributes to surveillance, training, and process improvements.

What you will do

• Review financial services product applications and enrollment forms for suitability.
• Evaluate transaction information and supporting documentation.
• Complete follow-up with registered personnel when additional information is required.
• Maintain broker-dealer documentation in accordance with regulatory and firm requirements.
• Serve as a resource for agents regarding product suitability and asset allocation.
• Communicate with registered representatives regarding suitability-related questions.
• Develop and utilize exception reports and surveillance systems.
• Identify transactions or activities requiring additional review.
• Assist in developing training materials for registered representatives.
• Support development of new and updated forms and participate in testing.

Required qualifications

• H.S. Diploma or GED
• 2+ years of related business experience within the insurance or brokerage industry
• Strong analytical and critical-thinking skills
• Excellent attention to detail and commitment to accurate documentation
• Strong written and verbal communication skills
• Ability to interpret and consistently apply procedures and regulatory requirements
• Ability to manage multiple priorities in a highly regulated environment
• FINRA Series 6 or Series 7
• FINRA Series 26 or Series 24

Nice to have

• Four-year college degree
• Series 51/53

About the company

Horace Mann was founded in 1945 to help educators protect what they have and prepare for a successful tomorrow. The company serves more than 4,100 school districts nationwide and is publicly traded on the New York Stock Exchange.