Home Office - Office of Supervisory Jurisdiction (OSJ) Principal

Cno Services • College Station, TX

283d • $59,700 - $89,500 • Remote

About The Position

CNO Financial Group is hiring a Home Office - Office of Supervisory Jurisdiction (OSJ) Principal who is responsible for a variety of supervisory, compliance, and risk functions for Bankers Life Securities (BLS) and Bankers Life Advisory Services (BLAS) along with Financial Representatives (FRs) and Financial Advisors (FAs) in their designated region. The Home Office - OSJ Principal has accountability for maintaining a consistent, controlled environment through adherence to Federal and State laws, the SEC, FINRA regulations, and BLS and BLAS policies and procedures.

Requirements

• Bachelor's degree in business, Accounting, Finance, or related field.
• 8 years of relevant experience.
• FINRA Series 7, 24, 63, 65 or 66 required or other industry credential available to ensure licensing.
• 5 years in transaction supervisory role at a broker-dealer / Registered Investment Advisor with focus on suitability review preferred.
• Proficient knowledge of Envestnet platform, Pershing Netx360, RegEd, Protegent, RightBridge, Morningstar, and other software systems.
• Able to operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Nice To Haves

• Experience with mutual funds, annuities, general securities, and advisory accounts.
• Strong interpersonal and communication skills working with financial advisors and support staff.
• Strong foundation in investment concepts, practices and procedures used in the securities industry, financial markets, and financial products.
• Commitment to providing a high level of customer service in a calm and professional manner.
• Good analytical skills to research and resolve problems.
• Ability to work independently under minimal direct supervision.

Responsibilities

• Reviewing various blotters and central files of FRs and FAs on a quarterly basis and provide guidance as appropriate.
• Resolving deficiencies/violations if discovered and ensuring that new FRs/FAs get off to a good start.
• Conducting Trade Review, elder abuse reviews and Anti-Money Laundering (AML) reviews.
• Conducting electronic surveillance reviews through Smarsh system and advance concerns if appropriate.
• Reviewing requests for Outside Business Activities and supervise approved requests.
• Conducting quarterly meetings with your downline in coordination with your Territory Supervisory Principal (TSP) and Central Supervisory Principal (CSP).
• Helping drive participation in required firm and regulatory trainings/attestations.
• Assisting compliance with examinations and assist in the remediation of items found, when directed.
• Assisting in the transfer of a departing FR/FA book of business.

Benefits

• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Professional, Scientific, and Technical Services
• Education Level: Bachelor's degree