Sr Compliance Analyst, Broker/Dealer - REMOTE

CNO Financial Group, Inc.•Boston, MA

3d•$81,100 - $121,700•Remote

About The Position

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.

Requirements

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%.
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

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
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

Responsibilities

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.