Suitability Analyst Broker-Dealer

Job Summary

A company is looking for a Suitability Analyst, Broker/Dealer to provide centralized supervision of registered representatives' securities transactions.

Key Responsibilities

• Review and approve client account documentation and trading activity
• Conduct suitability reviews of customer trading activity to ensure compliance with regulations
• Analyze trade reports and assist in onboarding new registered representatives

Required Qualifications

• Bachelor's degree in business, Finance, or 8 years of relevant experience in the financial services industry
• 5-10 years of compliance experience within investments/financial services
• FINRA Series 4, 7, 24, 53 required
• Series 63 and 65/66 Registration within 90 days of position
• Knowledge of SEC, FINRA, and state insurance rules and regulations