Suitability & Compliance Analyst: Broker-Dealer Focus
Horace Mann
Horace Mann is seeking a detail-oriented Suitability Analyst to join our Broker-Dealer Compliance team. You will review financial service applications and transactions for suitability, ensure compliance with FINRA rules, and maintain essential documentation to support supervisory reviews. You will collaborate with registered personnel, provide guidance on product suitability and documentation expectations, and assist in training and process improvements that strengthen our compliance program. #J-18808-Ljbffr Horace Mann
Vacancy posted 2 days ago
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