Sr Analyst, Suitability NW Securities
NationwideAbout the role
Current or prior experience as an associate within Nationwide’s Investment Management Group (IMG) is highly preferred.
Job Description Summary
Success on our team is directly related to embracing change, providing exceptional customer service and having a passion for getting things done right. We work together to build our business and grow profitably, with unwavering attention to detail. If you are naturally curious, want to grow and learn and develop your expertise in financial services, we want to know more about you!As a Senior Analyst, you’ll be responsible for reviewing securities, investment advisory, variable insurance and fixed annuity business for completeness, required documentation, forms and data, also known as “In Good Order” requirements. You will review In Good Order cases for Best Interest and evidences the approval or declination of each case in Nationwide Securities LLC’s (NSLLC) workflow system.
Job Description
Key Responsibilities:
Reviews variable business (variable life, variable annuity and mutual funds) applications submitted by NSLLC registered representatives for Best Interest. Interacts with Office of Supervisory Jurisdiction (OSJ) on escalated cases.
Reviews fixed annuities for suitability under the General Agency on behalf of Nationwide Life.
Reviews brokerage (stocks, bonds, certificates of deposit, mutual funds) new accounts and financial plans business for Best Interest of the investment.
Contacts agents via phone and email to acquire missing forms or data so that the case can be reviewed for Best Interest, and further processing.
Provides subject matter expertise and input on NSLLC projects and initiatives.
Provides guidance and/or training to partners and clients on issues, including new business review, processes, new forms and/or rules.
Provides documentation or case summaries during regulatory examination, as needed.
May perform other responsibilities as assigned.
Reporting Relationships: Reports to Director, Centralized Supervision, and does not have direct reports.
Typical Skills and Experiences:
Education: Undergraduate degree in business or finance preferred.
License/Certification/Designation: FINRA Series 7, 24, 53, 63, 65 or 66 license(s) required. Life and Annuity License required. ChFC/CLU/CFP encouraged. Candidates must have the 7 and 24 licenses, at a minimum, to be considered for the position and obtain the required federal and/or state licenses/registrations within the time specified by the business unit. Additional licenses/registrations may be required when new products and services are implemented. If an associate fails or is unable to acquire required licenses/registrations within the designated time period, the associates will be ineligible to continue in the position.
Experience: Three years of field experience, insurance back office or sales management preferred.
Knowledge, Ability and Skills: Working knowledge of insurance or financial business processes. Strong verbal and written communication skills. Non-standard or extended work may be required based on project needs. Ability to operate a personal computer and business software. Must be flexible and able to adapt to changing procedures, processes, systems etc. Able to manage escalations, and able to have difficult conversations.
Other criteria, including leadership skills, competencies and experiences may take precedence.
Staffing exceptions to the above must be approved by the hiring manager’s leader and HR Business Partner.
Values: Regularly and consistently demonstrates the Nationwide Values.
Job Conditions:
Overtime Eligibility: Not Eligible (Exempt)
Working Conditions: Normal office environment. May not work from home as recorded lines are needed and homes are not registered as FINRA branches.
ADA: The above statements cov
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