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Suitability Analyst
Horace Mann. Review financial services product applications and enrollment forms for suitability in accordance with broker-dealer procedures and FINRA regulations .
Posted 10/2/2026full-timeSpringfield • Illinois • United StatesJuniorMid-Level💰 $66,500 - $92,000 per yearWebsite
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in evaluating financial services product applications and ensuring compliance with broker-dealer procedures and FINRA regulations. Strong analytical skills and attention to detail are essential for maintaining accurate documentation and supporting suitability processes.
Highest-signal resume keywords
FINRA Series 6FINRA Series 7FINRA Series 26FINRA Series 24Analytical Skills
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Financial Services EvaluationTransaction DocumentationRegulatory ComplianceSuitability AssessmentDocumentation Improvement
Soft Skills
Attention to DetailCritical ThinkingWritten CommunicationVerbal CommunicationMulti-Priority Management
Tools & Technologies
Surveillance SystemsException Reports
Certifications & Qualifications
H.S. Diploma or GEDFour-Year College Degree (Preferred)
Industry Keywords
Broker-Dealer ProceduresFINRA RegulationsInsurance IndustryBrokerage Industry
About the role
Key responsibilities & impact- 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 requirements are met
- Follow up with registered personnel when additional information or clarification is required
- Maintain complete and accurate broker-dealer documentation
- Support appropriate disposition of applications
- Serve as a resource for agents and registered personnel regarding product suitability, asset allocation, product replacements, and transaction documentation
- Communicate with registered representatives regarding outstanding requirements and suitability-related questions
- Help field partners understand documentation expectations and broker-dealer procedures
- Develop and utilize exception reports and surveillance systems
- Identify transactions or activities requiring additional review
- Partner with leadership on suitability and broker-dealer compliance activities
- Assist in developing training materials
- Support development and testing of forms and system enhancements
- Provide systems support for suitability processes and documentation
- Identify process and documentation improvement opportunities
Requirements
What you’ll need- H.S. Diploma or GED required; Four-year college degree preferred
- 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 required
- FINRA Series 26 or Series 24 required
- Series 51/53 preferred
Benefits
Comp & perks- Bonus
- Periodic travel may be required