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CNO Financial Group Office of Supervisory Jurisdiction (OSJ) Principal - REMOTE from any US based location. in Las Vegas, Nevada

CNO Financial Group is hiring a 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.

As a Supervisor Jurisdiction Principal, your responsibilities will include:

  • Reviewing various blotters and central files of FRs and FAs on a quarterly basis (and provide guidance as appropriate).

  • To resolve deficiencies/violations if discovered and ensure that new FRs/FAs get off to a good start.

  • Conducting Trade Review, elder abuse reviews and Anti-Mondey 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.

  • Conduct quarterly meetings with your downline in coordination with your Territory Supervisory Principal (TSP) and Central Supervisory Principal (CSP).

  • Help drive participation in required firm and regulatory trainings/attestations.

  • Assist compliance with examinations and assist in the remediation of items found, when directed.

  • Assist in the transfer of a departing FR/FA book of business.

The Office of Supervisory Jurisdiction Principal position is well-suited for you if you:

  • Are experienced with mutual funds, annuities, general securities, and advisory accounts.

  • Have strong interpersonal and communication skills working with financial advisors, support staff in all types of matters including those that may be essential.

  • Have a strong foundation in investment concepts, practices and procedures used in the securities industry, financial markets, and financial products.

  • Have a commitment to providing a high level of customer service in a calm and professional.

  • Employ good analytical skills to be able to research and resolve problems.

  • Work independently under minimal direct supervision.

What you’ll need:

  • Bachelor’s degree in Business, Accounting, Finance, or related field of 8 years of relevant experience.

  • FINRA Series 7, 24, 63, 65 or 66 required or other industry credential available to ensure licensing or the ability to obtain a FINRA Series 24 in 90 days if not already obtained.

  • 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.

This role is full time work from home (WFH), also known as Remote. This role can be performed from any US based location within the central or eastern time zone. Associates who live within a 60-mile radius of a corporate office (Birmingham, Carmel, Chicago, Philadelphia, Orlando and Milwaukee) will have access to come into that Office up to 2 days/week, and work from home at least 3 days/week. Work cannot be performed from outside of the United States.

CNO provides life and health insurance, annuities, financial services, and workforce benefits solutions through our family of brands and supported by our associates and agents. Our customers work hard to save for the future, and we help protect their health, income and retirement needs with 3.2 million policies and more than $35 billion in total assets. Our 3,400 associates, 8,600 exclusive agents and 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 Diversity, Equity & Inclusion (DE&I); Integrity, Customer Focus, Excellence, and Teamwork. We have offices in more than 260 communities in the U.S., including our headquarters in Carmel, Indiana, and corporate offices in Birmingham, Chicago, Philadelphia, Orlando and Milwaukee.

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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ReqID: JR167044

Category: Sales/Telesales

Job Type: Full-Time

Additional Locations: Corona, CA; Eugene, OR; Kennewick, WA; Long Beach, CA; Lynnwood, WA; North Hollywood, CA; Peoria, AZ; Phoenix, AZ; Portland, OR; Salem, OR; Spokane, WA; Tucson, AZ

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