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Suitability Analyst Jobs (NOW HIRING)

Horace Mann

Manager Suitability Review

Springfield, IL · On-site

$76K - $106K/yr

The ideal candidate combines deep securities industry knowledge with strong leadership, analytical, and communication skills. Key Responsibilities Suitability Review & Regulatory Oversight * Review ...

Horace Mann

Manager Suitability Review

Springfield, IL · On-site

The ideal candidate combines deep securities industry knowledge with strong leadership, analytical, and communication skills. Responsibilities Suitability Review & Regulatory Oversight * Review ...

RWE

Engineer I, Site Suitability

Austin, TX · On-site

Exempt The Site Assessment & Suitability team is a key technical interface to the onshore wind ... Familiarity with acoustic analysis tools (WindPRO, CadnaA, Soundplan, or similar) is beneficial.

RWE

Engineer I, Site Suitability

Austin, TX · On-site

Exempt The Site Assessment & Suitability team is a key technical interface to the onshore wind ... Familiarity with acoustic analysis tools (WindPRO, CadnaA, Soundplan, or similar) is beneficial.

RWE

Engineer I, Site Suitability

Chicago, IL

Exempt The Site Assessment & Suitability team is a key technical interface to the onshore wind ... Familiarity with acoustic analysis tools (WindPRO, CadnaA, Soundplan, or similar) is beneficial.

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Suitability Analyst information

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$73.3K

$130K

How much do suitability analyst jobs pay per year?

As of Jun 29, 2026, the average yearly pay for suitability analyst in the United States is $73,261.00, according to ZipRecruiter salary data. Most workers in this role earn between $52,500.00 and $87,000.00 per year, depending on experience, location, and employer.

How does a Suitability Analyst typically collaborate with other departments to ensure compliance and appropriate product recommendations?

Suitability Analysts work closely with compliance teams, financial advisors, and product managers to evaluate whether financial products align with clients’ needs and regulatory requirements. Regular meetings and cross-departmental communications are common, allowing analysts to clarify guidelines, share findings, and address concerns about product suitability. This collaborative approach helps prevent mis-selling and ensures that clients receive recommendations tailored to their financial profiles, while also maintaining organizational compliance.

What is the difference between Suitability Analyst vs Data Analyst?

AspectSuitability AnalystData Analyst
Required CredentialsBachelor's degree in related field, certifications like SAS or SQLBachelor's degree in statistics, data science, or related field; similar certifications
Work EnvironmentFinancial institutions, government agencies, consulting firmsVarious industries including finance, marketing, healthcare, tech
Employer & Industry UsageUsed to assess compliance and risk suitability for clients or projectsUsed to analyze data trends, generate reports, support decision-making

While both roles involve data analysis skills and similar credentials, a Suitability Analyst focuses on evaluating client or project suitability within regulated environments, whereas a Data Analyst interprets data to inform business decisions across diverse industries.

What are the key skills and qualifications needed to thrive as a Suitability Analyst, and why are they important?

To thrive as a Suitability Analyst, you need a strong understanding of financial regulations, investment products, and risk assessment, often supported by a finance or related degree. Familiarity with compliance management systems, CRM software, and industry certifications such as FINRA licenses is typically required. Analytical thinking, attention to detail, and effective communication are crucial soft skills for evaluating client profiles and ensuring regulatory compliance. These skills are vital to accurately assess suitability, mitigate risks, and maintain trust within the financial industry.

What are Suitability Analysts?

Suitability Analysts are professionals who assess whether financial products or services are appropriate for clients based on their needs, goals, and risk tolerance. They review client profiles, analyze financial data, and ensure compliance with regulations and company policies. Suitability Analysts play a crucial role in helping financial institutions provide responsible recommendations and protect clients from unsuitable investments. Their work often involves staying up to date with industry standards and regulatory requirements.
More about Suitability Analyst jobs
What job categories do people searching Suitability Analyst jobs look for? The top searched job categories for Suitability Analyst jobs are:
Suitability Analyst jobs near you
Infographic showing various Suitability Analyst job openings in the United States as of June 2026, with employment types broken down into 87% Full Time, 4% Temporary, 7% Contract, and 2% Nights. Highlights an 89% In-person, 4% Hybrid, and 7% Remote job distribution, with an average salary of $73,261 per year, or $35.2 per hour.

Manager Suitability Review

Horace Mann

Springfield, IL • On-site

$76K - $106K/yr

Other

Posted 11 days ago

Key responsibilities

  • Manage the suitability review process for financial service product applications and enrollment forms in accordance with broker-dealer procedures and FINRA regulations.

  • Lead, coach, and develop a team of Suitability Analysts while establishing performance expectations and ensuring timely, accurate review of suitability submissions.

  • Design and maintain surveillance and exception reports to identify compliance concerns and recommend process improvements that strengthen compliance oversight and operational efficiency.

Job description

Horace Mann is seeking an experienced and knowledgeable Manager, Suitability Review to lead our suitability review function and help ensure the firm maintains the highest standards of regulatory compliance, supervisory oversight, and customer protection.

This leadership role is responsible for managing the suitability review process for financial service products, overseeing a team of analysts, supporting registered representatives, and ensuring compliance with FINRA regulations and broker-dealer requirements. The ideal candidate combines deep securities industry knowledge with strong leadership, analytical, and communication skills.

Key Responsibilities

Suitability Review & Regulatory Oversight

  • Review financial service product applications and enrollment forms for suitability in accordance with broker-dealer procedures and FINRA regulations.
  • Complete required follow-up with registered personnel, document broker-dealer files, and approve or reject applications as a Registered Principal on behalf of the firm.
  • Review financial product replacements, asset allocation recommendations, and suitability determinations to ensure compliance with applicable regulations and firm policies.
  • Act as a subject matter expert on suitability matters for field agents, registered representatives, and home office personnel.

Leadership & Team Management

  • Lead, coach, and develop a team of Suitability Analysts.
  • Establish performance expectations and ensure timely, accurate review of suitability submissions.
  • Foster a culture of compliance, accountability, and continuous improvement.
  • Support employee development through coaching, training, and performance management.

Surveillance, Reporting & Process Improvement

  • Design and maintain surveillance reports to support supervision of account transactions and registered personnel activities.
  • Develop and utilize exception reporting tools to identify potential compliance concerns and trends.
  • Review, develop, and enhance suitability standards, policies, procedures, and controls.
  • Recommend process improvements that strengthen compliance oversight and operational efficiency.

Training & Business Support

  • Develop and deliver suitability-related training programs for registered representatives and internal business partners.
  • Assist in the development and testing of forms and tools designed to improve field productivity and data collection.
  • Provide guidance to registered representatives regarding product suitability, replacement transactions, and asset allocation considerations.
  • Partner with Compliance, Operations, Product, and Distribution teams on regulatory initiatives and business projects. 

Regulatory Forms & Governance

  • Oversee the maintenance and development of regulatory forms and documentation.
  • Ensure broker-dealer records are maintained in accordance with regulatory requirements.
  • Support audits, examinations, and regulatory inquiries as needed.

Qualifications & Experience

Required

  • Bachelor's degree from an accredited four-year college or university.
  • 5+ years of suitability review experience.
  • 5+ years of securities industry experience, including direct interaction with registered representatives.
  • Strong understanding of FINRA regulations, suitability standards, supervisory requirements, and broker-dealer operations.
  • Demonstrated leadership and team management experience.

Licensing Requirements

  • FINRA Series 6 (or Series 7) required.
  • FINRA Series 26 (or Series 24) required.
  • FINRA Series 51 and 53 are required within three months of hire.

Preferred

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

Skills & Competencies

  • Strong leadership and coaching abilities
  • Excellent analytical and critical-thinking skills
  • Exceptional written and verbal communication skills
  • Strong decision-making and risk assessment capabilities
  • Ability to interpret and apply complex regulatory requirements
  • Proven ability to influence and collaborate across business functions
  • Proficiency with Microsoft Office applications

Additional Information

  • Normal office environment.
  • Periodic travel may be required.

Ability to work effectively in a fast-paced, highly regulated environment

Pay Range:

  • $76,600.00 - $106,450.00/annually 

Salary is commensurate to experience, location, etc.

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