Director, Sales Practice Supervision & Oversight - REMOTE

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 Bankers Life Securities Division is hiring a Director, Sales Practice Supervision & Oversight to be responsible for the design, implementation and oversight of the supervisory system to ensure compliance with FINRA rules, internal policies, and applicable securities laws.

This is your opportunity to provide leadership over supervision, sales practice risk, and field oversight while partnering closely with Compliance, Legal, and Operations to mitigate regulatory and reputational risk and support responsible growth.

As a Director, Sales Practice Supervision & Oversight, your responsibilities will include:

• Designing, maintaining, and enhancing the firm’s written supervisory procedures in accordance with FINRA Rule 3110.
• Establishing a risk-based supervisory framework across branches, OSJs, and central supervisory units.
• Overseeing controls, testing and validation of the system.
• Overseeing surveillance of trading activity, outside business activities, private securities transactions, communications with the public, gifts, gratuities, and conflicts of interest.
• Escalating and managing potential violations.
• Partnering with Compliance on regulatory examinations, inquiries, or other related matters.
• Partnering with AML officer to ensure alignment with AML program requirements relating to customer onboarding and due diligence, money movement, suspicious activity.
• Establishing a framework for risk-based branch assessments and conduct.
• Designing, implementing, and managing exception reporting, surveillance platforms, alert logic, thresholds, rules engines and false positive management.
• Developing a framework for addressing control issues and recommending appropriate steps to address them; following up to verify appropriate and timely resolution of issues.
• Ensuring effective systems are in place to monitor and oversee rep sales practice including but not limited to investigating the background of each applicant for registration, outside business activities, use of marketing materials and sales literature, correspondence, onboarding and training, private securities transactions, annual rep requirements, rep trade escalations.
• Preparing and delivering presentations at company functions, training events, and conferences.

The Director, Sales Practice Supervision & Oversight position is well-suited for you if you:

• Have deep knowledge of FINRA Rules 3110, 3120, 3310, Investment Advisors Act Rules, and related SEC regulations.
• Demonstrate advanced Excel knowledge, working knowledge of SQL, and familiarity with BI tools and knowledge of financial services fintech solutions.
• Have a strong ability to prioritize risks, recognize trends and patterns, and root cause.
• Can drive systemic fixes.

What you’ll need:

• Bachelor’s degree, OR 8 years of relevant experience, as an equivalent.
• Certifications/Licenses: FINRA Series 7, 63, 66/65, 24
• 10 years of broker-dealer experience with relevant supervisory leadership with 2 years of people management experience.

What will set you apart:

• The ability to build credibility with leadership, the field, and regulators.
• The ability to identify risk early and act decisively using judgment under ambiguity.
• Candidate location may need to be deemed an OSJ registered branch.

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

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.

This role is affiliated to the (Carmel / Chicago / Orlando) corporate office, and candidates for this role need to reside within a 60-mile radius of that corporate office and will be required to come into that office. CNO embraces flexibility, and encourages you to work with your manager to develop the workstyle that meets your personal needs as well as the needs of the business. You may be asked to travel to other corporate offices periodically. Please be aware that 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.

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Compensation

Pay Range: $118,600.00 - $178,000.00 Annual

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.

ReqID : JR170252

Job Type : Full time

Additional Locations : Philadelphia, PA; Chicago, IL; Milwaukee, WI;