Director, Sales Practice Supervision & Oversight

CNO Financial Group

Director overseeing sales practice supervision at CNO Financial Group. Ensuring compliance with regulations and leading supervisory practices within the organization.

Posted 5/20/2026full-timeCarmel • Illinois, Pennsylvania, Wisconsin • 🇺🇸 United StatesLead💰 $118,600 - $178,000 per yearWebsite

Tech Stack

Tools & technologies

SQL

About the role

Key responsibilities & impact

Designing, maintaining, and enhancing the firm’s written supervisory procedures in accordance with FINRA Rule 3110.
Establishing a risk-based supervisory framework across branches, OSJs, and central supervisory units.
Overseeing controls, testing and validation of the system.
Overseeing surveillance of trading activity, outside business activities, private securities transactions, communications with the public, gifts, gratuities, and conflicts of interest.
Escalating and managing potential violations.
Partnering with Compliance on regulatory examinations, inquiries, or other related matters.
Partnering with AML officer to ensure alignment with AML program requirements relating to customer onboarding and due diligence, money movement, suspicious activity.
Establishing a framework for risk-based branch assessments and conduct.
Designing, implementing, and managing exception reporting, surveillance platforms, alert logic, thresholds, rules engines and false positive management.
Developing a framework for addressing control issues and recommending appropriate steps to address them; following up to verify appropriate and timely resolution of issues.
Ensuring effective systems are in place to monitor and oversee rep sales practice including but not limited to investigating the background of each applicant for registration, outside business activities, use of marketing materials and sales literature, correspondence, onboarding and training, private securities transactions, annual rep requirements, rep trade escalations.
Preparing and delivering presentations at company functions, training events, and conferences.

Requirements

What you’ll need

Bachelor’s degree, OR 8 years of relevant experience, as an equivalent.
10 years of broker-dealer experience with relevant supervisory leadership with 2 years of people management experience.
Candidates must possess one of the following combinations of FINRA licenses: Series 7/Series 66/Series 24 or Series 7/Series 63/Series 65/Series 24
Deep knowledge of FINRA Rules 3110, 3120, 3310, Investment Advisors Act Rules, and related SEC regulations.
Demonstrate advanced Excel knowledge, working knowledge of SQL, and familiarity with BI tools and knowledge of financial services fintech solutions.
Strong ability to prioritize risks, recognize trends and patterns, and root cause.
Can drive systemic fixes.

Benefits

Comp & perks

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

ATS Keywords

✓ Tailor your resume

Applicant Tracking System Keywords

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

Hard Skills & Tools

FINRA Rule 3110risk-based supervisory frameworksurveillance of trading activityexception reportingalert logicthresholdsrules enginesfalse positive managementadvanced ExcelSQL

Soft Skills

prioritization of risksrecognition of trendsroot cause analysissystemic fixespresentation skillspeople management

Certifications

Series 7Series 66Series 24Series 63Series 65