Suitability Compliance Specialist

Job description

Alternate Locations: Charlotte, NC (North Carolina); Fort Wayne, IN (Indiana); Greensboro, NC (North Carolina); Hartford, CT (Connecticut); Omaha, NE (Nebraska); Radnor, PA (Pennsylvania) Work Arrangement: Hybrid : Employee will work 3 days a week in a Lincoln office Relocation assistance: is not available for this opportunity. Requisition #: 75942: The Role at a Glance: As a Suitability Compliance Specialist, you will be responsible for ensuring compliance with federal securities and state insurance laws through the development and administration of suitability review programs. You will conduct detailed research, review marketing and sales materials, and collaborate with internal and external stakeholders to maintain transparency and regulatory adherence. Additionally, you will support audits, deliver compliance training, and contribute to policy development to keep pace with evolving regulations. What you'll be doing: - Developing, implementing, and administering suitability compliance review programs. - Identifying, researching and resolving exceptions to suitability problems with business partners and service providers. - Providing ongoing routine suitability and compliance rev...