CNO Financial Group

Senior Compliance Analyst, Broker/Dealer

CNO Financial Group

full-time

Posted on:

Location Type: Hybrid

Location: Chicago • Illinois • Massachusetts • United States

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Salary

💰 $81,100 - $121,700 per year

Job Level

Senior

About the role

  • 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.
  • Develop policies and procedures and communicates policies and procedures to assigned areas; communicates new regulatory developments.
  • Support/review compliance, operations and other corporate communications; disseminate relevant materials to management and associates.

Requirements

  • 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
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
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Soft Skills
investigationcommunicationproblem-solvinganalytical skillsconfidentialitypolicy developmentescalationsurveillance
Certifications
Series 7Series 24Series 63Series 65Series 66