Job Details
The stated pay range is based on a national-average location. Actual salary is determined by factors including relevant work experience, skills and location. This position is bonus eligible. Candidates and associates may be asked to travel to corporate offices for interviews, training and/or meetings. Work cannot be performed from outside of the United States.
CNO Financial Group’s Legal Department is hiring a Sr. Compliance Analyst, Broker/Dealer to be a key contributor on the Broker/Dealer Compliance team and will be effective in the implementation, maintenance, and administration of the Compliance Program. This position requires extensive knowledge and expertise with SEC, FINRA, SEC 1940 Act, State, ERISA, DOL, rules and regulations and appropriate experience of regulatory agencies and exchanges. Because of the experience necessary to fulfil the Senior Compliance Analyst role, a broad degree of latitude in decision making and defining appropriate solutions is entrusted to the individual fulfilling this role.
As a Sr. Compliance Analyst, Broker/Dealer, your responsibilities will include:
Investigate and resolve customer complaints in line with regulatory standards and firm policies.
Act as conduit between the firm and regulator.
Assess all communications of the Firm according to current, pertinent regulatory requirements including internal guidelines and procedures.
Protects highly confidential nature of such communications.
Monitor and test against applicable guidelines for potential business practice issues and/or regulatory concerns.
Analyzes history and other sources of information of potential issues.
Performs further investigation and obtains additional detailed research by discussing and questioning the source(s) of the communication.
Identifies and escalates potential issues to Senior management, from business areas as directed.
Conduct in-depth surveillance of various functions and processes throughout the organization to ensure compliance with the firm’s policies and procedures.
Regulatory developments - internal and industry regulations, guidelines, policies and issues impacting the content, use and distribution of email communications.
Possesses working knowledge of each business unit and their specific business needs both internally and in the industry.
Develop policies and procedures and communicates policies and procedures to assigned areas; communicates new regulatory developments.
Tests supervision structure and workflows and makes recommendations on ways to increase efficiency while maintaining internal controls.
Participates as subject matter expert in special projects of the Firm and the Corporate Enterprise.
Conduct inspections of field offices and offices of supervision, including identification of potential advisor sales practice violations.
Create and maintain key risk indicators and metrics using test results and other identifiers
Provide timely updates and communication to Supervisory Principals and OSJ/Branch BOAs regarding compliance and regulatory topics.
Support/review compliance, operations and other corporate communications; disseminate relevant materials to management and associates.
The Sr. Compliance Analyst, Broker/Dealer position is well-suited for you if you have:
Excellent analytical skills, including the ability to evaluate a broad scope of data to define potential risks.
Excellent organization skills, ability to manage multiple priorities, ability to work independently.
Ability to meet time sensitive deadlines, and provide in-depth reporting to executives, regulators and legal counsel.
Demonstrated leadership competency, including the ability to build relationships.
Collaborate as a subject matter expert for the broker dealer and RIA with enterprise groups and sales force.
Excellent communication skills, both written and verbal. Proven ability to communicate.
Ability to travel approximately 30%.
What you’ll need:
Series 7 and 24
Series 63 and/or 65/66
Bachelor’s degree or 8 years experience as equivalent
Three years of experience in a securities/investment environment
An understanding of FINRA rule 4530 and how to apply it
What will set you apart:
Ability to work in Central or Eastern US Time Zone Business Hours
Experience in a compliance function with the following concentrations: SEC-registered investment adviser experience, FINRA member firm, complaint resolution
Experience reviewing marketing materials and RFPs for an investment adviser
Industry and securities markets, as well as knowledge of securities laws that relate to governance
Compliance and business risk, and implement solutions to address and mitigate such risk
Relational database models
Participation in special projects related to business processes, internal controls and audit verification
The Company offers the following benefits for this position, subject to applicable eligibility requirements:
Click on this link for additional information.
CNO embraces flexibility and encourages you to work where you’re most productive. Associates who live within a 60-mile radius of a corporate office (Carmel, Chicago, and Orlando) have access to come into that office.
Associates who live outside of a 60-mile radius of a corporate office (Carmel, Chicago, and Orlando) may perform this role full-time work from home (WFH) from any US based location, as long as you are willing to work central or eastern time zone hours.
All associates may be asked to travel to varying corporate offices periodically. Work cannot be performed from outside of the United States.
CNO Financial Group, Inc. (NYSE: CNO) secures the future of middle-income America. CNO provides life and health insurance, annuities, financial services and workforce benefits solutions through our family of brands, including Bankers Life, Colonial Penn, Optavise and Washington National. Our customers work hard to save for the future, and we help protect their health, income and retirement needs with 3.3 million policies and more than $38.3 billion in total assets. Our 3,300 associates, 4,900 exclusive agents and more than 6,500 independent partner agents guide individuals, families and businesses through a lifetime of financial decisions.
We are financially strong and well positioned for continued growth, and we are grounded in our core values of People Focused, Integrity, Customer Driven, and Excellence. We have offices in more than 220 communities in the U.S., including our headquarters in Carmel, Indiana, and corporate offices in Chicago and Orlando.
At CNO Financial Group, we’re always looking forward—to the security and stability we help create for our insurance brands’ customers, and the growth we create within our own company. We're looking for ambitious people who want to do more. We'll provide you with opportunities to grow your skills through challenging professional experiences.
If you're looking for a culture that encourages development, helps you reach your potential, and rewards you for your contribution, then CNO Financial Group is right for you. For more information, visit CNOinc.com.
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.
Compensation
Pay Range: $81,100.00 - $121,700.00 AnnualWe are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.