Supervisory Analyst - REMOTE from any US based location

CNO Financial Group, Inc.•Carmel, IN

1d•$54,900 - $82,300•Remote

About The Position

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.

Requirements

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.
High School Diploma in General Studies.
Series 7 and 66 (or Series 65) required.
3 years of experience in broker/dealer or RIA business.

Nice To Haves

Bachelor’s Degree in related discipline, or equivalent 8 years of relevant experience.
2 years of experience in supervisory unit or compliance unit.

Responsibilities

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.