Suitability Analyst Broker-Dealer

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