Suitability Analyst Series 63/65
VirtualVocations
Providing centralized supervision of registered representatives' securities transactions, the full-time Suitability Analyst Series 63/65 will ensure compliance with FINRA, SEC, and state regulations while working remotely from any U.S. location. Key responsibilities Review and approve client account documentation and trading activity to ensure regulatory compliance Conduct suitability reviews of customer trading activity for various business types, ensuring adherence to internal procedures and industry regulations Educate and train registered representatives on products and services, addressing concerns and providing operational support Required qualifications Active Series 63 and 65/66 licenses Master's degree or equivalent experience in business and finance Knowledge of SEC, FINRA, and state insurance rules and regulations Understanding of the trade cycle and securities settlement processes Strong analytical and organizational skills
Vacancy posted 7 days ago
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