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Remote Investment Suitability Review Jobs (NOW HIRING)

Pennmutual

Director - HTK Operations

$145K - $165K/yr

Hornor, Townsend & Kent (HTK), the broker-dealer and registered investment advisor subsidiary of ... suitability review, contact center operations, compensation, and field/advisor support. * Own ...

Equitable

Regional Controls Manager, Wealth Management

OR · On-site +1

$80K - $90K/yr

... Proofpoint, SRS Suitability Review System, RegEd AuditTrax, and FINRA Gateway. Preferred ... We are continuously investing in our people by offering growth, internal mobility, comprehensive ...

RSM Global

Investment Specialist

Investment Specialist Risk & Regulatory Consulting, LLC (RRC) Remote-USA location Open to Full-time ... Review of entities' investment policies, guidelines, procedures and controls regarding investment ...

RSM

Investment Specialist

Investment Specialist Risk & Regulatory Consulting, LLC (RRC) Remote-USA location Open to Full-time ... Review of entities' investment policies, guidelines, procedures and controls regarding investment ...

Mercor

Life & Annuity Specialist - Advisor

New York, NY · On-site +1

Ability to distinguish product and suitability judgment from investment advice. Preferred * CLU ... Immediately ; applications reviewed on a rolling basis. Application Process (Takes 20-30 mins to ...

Mercor

Investment Analyst - AI Trainer

Dallas, TX · Remote

$70 - $110/hr

Remote Duration: 4-6 weeks Commitment: 20+ hours/week Role Responsibilities * Evaluate AI-generated ... Review financial analysis scenarios involving company valuation, capital structure, and portfolio ...

Mercor

Investment Analyst - Valuation Expert

New York, NY · Remote

$80 - $120/hr

Remote Role Responsibilities * Evaluate AI-generated artifacts against domain-specific quality ... Our team reviews applications daily. Please complete your AI interview and application steps to be ...

Mercor

Investment Analyst - Valuation Expert

New York, NY · Remote

$80 - $120/hr

Remote Role Responsibilities * Evaluate AI-generated artifacts against domain-specific quality ... Our team reviews applications daily. Please complete your AI interview and application steps to be ...

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Remote Investment Suitability Review information

See salary details

$40K

$158.8K

$222K

How much do remote investment suitability review jobs pay per year?

As of Sep 2, 2026, the average yearly pay for remote investment suitability review in the United States is $158,828.00, according to ZipRecruiter salary data. Most workers in this role earn between $121,500.00 and $195,000.00 per year, depending on experience, location, and employer.

What is a remote investment suitability review?

A Remote Investment Suitability Review is a process where a financial professional evaluates whether specific investment products or strategies align with a client's financial goals, risk tolerance, and personal circumstances—conducted remotely through digital tools or communication platforms. This review ensures that recommendations comply with legal and regulatory standards, protecting both the client and the advisor. By performing the suitability review remotely, clients can receive personalized investment guidance without needing to meet in person, increasing convenience and accessibility.

What are the key skills and qualifications needed to thrive as a remote investment suitability reviewer?

To thrive as a Remote Investment Suitability Reviewer, you need a strong understanding of financial regulations, investment products, and risk assessment, often backed by a degree in finance or related certifications such as FINRA Series 7 or 66. Familiarity with compliance monitoring systems, portfolio management software, and secure communication platforms is essential. Attention to detail, analytical thinking, and clear written communication are crucial soft skills for accurately evaluating client profiles and documenting recommendations. These skills and qualities are important to ensure investments align with regulatory standards and client objectives, minimizing risk for both clients and the firm.

What are some common challenges faced by professionals in a remote investment suitability review role, and how can they be addressed?

One common challenge in a Remote Investment Suitability Review role is ensuring clear communication and collaboration with other team members, such as advisors and compliance officers, despite working remotely. Staying updated with regulatory changes and maintaining consistent documentation standards can also be demanding. Utilizing secure digital platforms, scheduling regular check-ins, and proactively seeking clarification on complex cases can help address these challenges. Additionally, dedicating time for ongoing training and leveraging knowledge-sharing tools can support continuous professional development and ensure compliance with evolving industry standards.

What is the difference between Remote Investment Suitability Review vs Remote Financial Advisor?

AspectRemote Investment Suitability ReviewRemote Financial Advisor
CredentialsTypically requires certifications like FINRA Series 7/66, or CFPRequires CFP, Series 7, or similar financial planning licenses
Work EnvironmentPrimarily review and assess client portfolios remotelyProvide comprehensive financial planning and advice remotely
Industry UsageUsed mainly in compliance and suitability assessments within finance firmsUsed in client-facing financial planning and investment management

While both roles operate remotely within the finance industry and require similar certifications, the Remote Investment Suitability Review focuses on evaluating client portfolios for compliance and suitability, whereas the Remote Financial Advisor provides personalized financial advice and planning services.

What cities are hiring for Remote Investment Suitability Review jobs?

Cities with the most Remote Investment Suitability Review job openings:

What are the most commonly searched types of Investment Suitability Review jobs?

The most popular types of Investment Suitability Review jobs are:

What states have the most Remote Investment Suitability Review jobs?

States with the most job openings for Remote Investment Suitability Review jobs include:

Remote Investment Suitability Review jobs near you
Infographic showing various Remote Investment Suitability Review job openings in the United States as of July 2026, with employment types broken down into 91% Full Time, 6% Part Time, and 3% Contract. Highlights an 87% Physical, 4% Hybrid, and 9% Remote job distribution, with an average salary of $158,828 per year, or $76.4 per hour.

Director - HTK Operations

Pennmutual

Remote

$145K - $165K/yr

Full-time

Posted 15 days ago

Job description

Job Description:

Hornor, Townsend & Kent (HTK), the broker-dealer and registered investment advisor subsidiary of Penn Mutual, operates a standalone Brokerage & Advisory Operations function and is seeking an experienced Director of Operations.
The Director of HTK Operations will be a key driver in shaping the strategic direction for our operational framework.The role will partner closely with key stakeholders to assess and develop people, processes, and technology in support of Financial Professionals and their clients.
Reporting directly to the VP HTK, the Director, HTK Operationswill lead core broker-dealer and RIA back-office functions, including account opening and maintenance, trading support, cashiering, disbursements, suitability review, contact center operations, compensation, and field/advisor support.

Job Description

  • Own broker-dealer and RIA back-office operations: account onboarding, maintenance, new account review, trading support, cashiering, disbursements, ACATs/transfers, suitability, and field advisor support

  • Establish and enforce operational standards, SLAs, KPIs, and an operating cadence including capacity planning, escalation paths, and issue management

  • Oversee supervisory functions for new account review in partnership with the Compliance team, ensuring FINRA, SEC, and MSRB obligations are met

  • Provide regulatory and control oversight, ensuring compliance with FINRA, SEC, and MSRB; maintain strong procedures and readiness; lead exams and remediation efforts.

  • Collaborate with vendors (e.g., Pershing, DTCC, etc.) to improve platforms, integrations, data quality, and operational resiliency.

  • Coach and developHTK team members and people leaderswhile building succession depth.

  • Identify and close significant procedural and control gaps that currently exist in the organization

  • Design and implement scalable, repeatable processes appropriate for a regulated broker-dealer environment

  • Lead regulatory exam readiness and remediation in coordination with Compliance and Risk

  • Lead the implementation of Docupace as the new account workflow, records (books and records), and straight-through processing tool - this is a committed, in-flight initiative

  • Collaborate withtechnology and vendor partners (e.g., Pershing, DTCC, investment platforms) to improve integrations, data quality, and system performance

  • Leverage data and analytics to drive decision-making and surface operational risk proactively

Knowledge,Skills and Abilities

  • Deep expertise in broker-dealer operations and regulatory frameworks (FINRA, SEC, MSRB).

  • Proven success leading operational transformation and technology modernization.

  • Strong strategic thinking, problem solving, communication, and stakeholder management skills.

  • Strategic, data-driven decision-maker with strong risk awareness.

  • Comfortable navigating ambiguity, driving change, and fostering innovation.

  • Excellent communication skills with ability to translate complex issues into clear insights.

  • Demonstrated ability to build and lead high-performing teams.


Education

  • Bachelor'sDegree is required.

FINRARegistrations:Series 65 and 24 required; Series 27 preferred.

Work Experience

  • 10+ years leading teams and driving cross-functional initiatives
    10+ years in life insurance, annuities, or financial services with a focus on agile delivery and digital transformation - required

Base Salary Range - $145,000 - $165,000

For over 175 years, Penn Mutual has empowered individuals, families and businesses on the journey to achieve their financial goals. Through our partnership with Financial Professionals across the U.S., we help instill the confidence and reliability that comes from a stronger financial future. Penn Mutual and its affiliates offer a comprehensive suite of competitive products and services to meet the unique needs of Financial Professionals and their clients, including life insurance, annuities, wealth management and institutional asset management. To learn more, including current financial strength ratings, visitwww.pennmutual.com.

Penn Mutual is committed toEqual Employment Opportunity(EEO). We provide employment and advancement opportunities to all qualified applicants and associates, according to applicable laws. This is reflected in our practices for hiring, placement, promotion, transfer, demotion, layoff, termination, recruitment, compensation, selection or training, and all other terms and conditions of employment. All employment-related decisions and practices are free from unlawful discrimination. This includes: race, creed, color, national origin, ancestry, citizenship age, gender (including pregnancy), sexual orientation, gender identity or expression, domestic partnership or civil union status, marital status, genetic information, disability, religious observance or practice, liability, veteran status or any other classification protected under applicable law.

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