Job Description

Suitability Manager/Principal
Cleveland, OH
Currently looking for a Suitability Manager in the Cleveland area. Qualified candidates will have a Bachelor's degree and five years of experience in the securities industry. This position requires FINRA Series 6 and 26 OR 7 and 24. This position is an excellent opportunity for you to take your career into new heights with a highly reputable company! The position is Direct Hire and comes in with an excellent benefits package!
Requirements for the Suitability Manager
  • Bachelor's Degree required
  • At least 5 years of experience in the securities industry 
    (registered annuity products, mutual funds and securities) 
  • FINRA Series 6 and 26 or 7 and 24 is required
  • Series 53 and/or 4 are a plus
Responsibilities of the Suitability Manager
  • Responsible for oversight and development of Representatives on the Suitability Team
  • Ensure staff awareness of and participation in important team initiatives
  • Ensure that all new business and inforce suitability pends are resolved
  • Review and sign off on all suitability control reports within compliance standards
  • Lead team towards achievement of strong compliance with service and regulatory guidelines
  • Monitor transactions and identify any patterns requiring review by Corporate Compliance
  • Handle escalated inquiries and appeals, and suggest improvements
  • Provide leadership with sensitive/escalated matters which require review by multiple parties
  • Prepare and distribute monthly suitability trend and compliance reports
  • Lead project teams on initiatives (improving correspondence, designing new workflows and testing criteria to accommodate new products and/or compliance guidelines, and the implementation of new controls to support existing procedures)
For immediate consideration, please email your resume to Regina Jordan @

Application Instructions

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