Suitability Analyst, Broker/Dealer

Role Overview

• 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
• 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

Requirements

• Bachelor’s degree in business, Finance, or 8 years of proven experience with investments and in the financial services industry.
• 5-10 years progressively responsible compliance experience within investments/financial services to include detailed knowledge of the trade cycle, securities settlement, standard trading workflows and systems and specific knowledge of SEC, FINRA and state insurance rules and regulations.
• FINRA Series 4, 7, 24, 53.
• Registrations; Series 63 and 65/66 Registration within 90 days in position.

Benefits

• medical insurance
• dental insurance
• vision insurance
• 401(k) retirement plan with company match
• short-term & long-term disability insurance
• Paid time-off and corporate holidays
• paid parental leave
• company paid life insurance