3 years of experience in broker/dealer or RIA business.
What will set you apart:
Bachelor's Degree in related discipline, or equivalent 8 years of relevant experience.
2 years of experience in supervisory unit or compliance unit.
The Company offers the following benefits for this position, subject to applicable eligibility requirements:
medical insurance
dental insurance
vision insurance
401(k) retirement plan with company match
short-term & long-term disability insurance
Paid time-off and corporate holidays,
paid parental leave
company paid life insurance
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.
If you're looking for a culture that encourages development, helps you reach your potential, and rewards you for your contribution,
Benefits
Health insuranceDental insuranceVision insurance401(k)Performance bonusParental leave
Additional Information
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.
The Supervisory Analyst supports the firm's supervisory framework by reviewing, monitoring and escalating potential risks across financial representative (FR) activities. This role is responsible for executing surveillance, identifying red flags, and ensuring adherence to firm policies and regulatory requirements. The analyst operates under the direction of designated principals and does not hold supervisory sign-off authority.
This is your opportunity to be a part of CNO Financial Group:
Conduct daily, weekly, and monthly reviews of Registered ..Representative activity (supervisory blotters, trading, communications, money movements, and account activity).
Monitor exception reports and escalate potential issues to supervisory principals.
Review, track, monitor, and validate submission, completeness and accuracy of RR books and records including but not limited to quarterly transmittals, social media token resets, annual compliance meeting, annual continuing education (firm element and regulatory element).
Support maintenance of supervisory documentation in accordance with policies and procedures.
Assist with branch examination preparation and remediation tracking.
Manage and update ADV Part 2Bs, coordinate and manage client mailings.
Coordinate OBA reporting, follow up, updates with external monitoring systems.
Perform first level reviews as required.
Help support internal reviews.
As a Supervisory Analyst your responsibilities will include:
Working knowledge of FINRA and SEC rules specifically relating to books and records.
Familiarity with supervision tools (e.g. exception reporting systems, supervision surveillance platforms).
Attention to detail, analytical thinker, multi priority management skills.
Clear communication skills.
High integrity and confidentiality.
Cnoinc · Carmel, IN