Sr Compliance Analyst, Broker/Dealer - REMOTE

CNO Financial Group, Inc.•Boston, MA

1d•$81,100 - $121,700•Remote

About The Position

The Sr. Compliance Analyst, Broker/Dealer will be a key contributor on the Broker-Dealer Compliance team, responsible for the implementation, maintenance, and administration of the Compliance Program. This role requires extensive knowledge of SEC, FINRA, SEC 1940 Act, State, ERISA, and DOL rules and regulations, as well as experience with regulatory agencies and exchanges. The position offers a broad degree of latitude in decision-making and defining appropriate solutions due to the expertise required. The role is bonus eligible and may require travel to corporate offices for interviews, training, and/or meetings. Work must be performed within the United States and cannot be performed from outside the United States. The stated pay range is based on a national-average location, with actual salary determined by factors including relevant work experience, skills, and location.

Requirements

Series 7 and 24 licenses
Series 63 and/or 65/66 licenses
Bachelor’s degree or 8 years of equivalent experience
Three years of experience in a securities/investment environment
An understanding of FINRA rule 4530 and how to apply it
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.
Ability to 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%.

Nice To Haves

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
Knowledge of industry and securities markets, as well as knowledge of securities laws that relate to governance
Understanding of compliance and business risk, and ability to implement solutions to address and mitigate such risk
Experience with relational database models
Participation in special projects related to business processes, internal controls and audit verification

Responsibilities

Investigate and resolve customer complaints in line with regulatory standards and firm policies.
Act as a conduit between the firm and regulator.
Assess all communications of the Firm according to current, pertinent regulatory requirements, including internal guidelines and procedures, while protecting the confidential nature of such communications.
Monitor and test against applicable guidelines for potential business practice issues and/or regulatory concerns, analyzing history and other sources of information for potential issues.
Perform further investigation and obtain additional detailed research by discussing and questioning the source(s) of the communication.
Identify and escalate 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.
Stay informed about regulatory developments, including internal and industry regulations, guidelines, policies, and issues impacting the content, use, and distribution of email communications.
Possess working knowledge of each business unit and their specific business needs both internally and in the industry.
Develop and communicate policies and procedures to assigned areas, and communicate new regulatory developments.
Test supervision structure and workflows and make recommendations on ways to increase efficiency while maintaining internal controls.
Participate as a 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 and review compliance, operations, and other corporate communications; disseminate relevant materials to management and associates.