Manager Suitability Review (Fintech)

TL;DR

Manager Suitability Review (Fintech): Leading the suitability review function to ensure regulatory compliance and customer protection for financial service products with an accent on FINRA regulations and broker-dealer oversight. Focus on managing a team of analysts, designing surveillance reporting, and enhancing compliance standards to mitigate risk.

Location: Must be based in Springfield, IL or Cherry Hill, NJ

Salary: $76,600–$106,450 annually

Company

A publicly traded financial services company dedicated to helping educators protect their assets and prepare for their financial future.

What you will do

• Manage the suitability review process for financial service products in accordance with FINRA regulations.
• Lead, coach, and develop a team of Suitability Analysts to ensure accurate and timely reviews.
• Act as a Registered Principal to approve or reject applications and document broker-dealer files.
• Design and maintain surveillance reports to identify potential compliance concerns and trends.
• Develop and deliver suitability-related training programs for registered representatives.
• Partner with Compliance, Operations, and Product teams on regulatory initiatives and business projects.

Requirements

• Bachelor's degree required.
• 5+ years of suitability review and securities industry experience.
• Active FINRA Series 6 or 7 and Series 26 or 24 licenses required.
• Must obtain FINRA Series 51 and 53 within three months of hire.
• Strong understanding of FINRA regulations and broker-dealer operations.
• Demonstrated leadership and team management experience.

Nice to have

• Experience managing suitability review teams.
• Experience developing surveillance reporting and exception monitoring programs.
• Experience designing and delivering compliance training programs.

Culture & Benefits

• Work in a stable, publicly traded company environment.
• Opportunities for professional development and leadership growth.
• Comprehensive benefits package typical of a large corporate employer.
• Collaborative environment focused on supporting educators.