Sr Compliance Analyst, Broker Dealer - REMOTE

Job Details

The stated pay range is based on a national-average location. Actual salary is determined by factors including relevant work experience, skills and location. This position is bonus eligible. Candidates and associates may be asked to travel to corporate offices for interviews, training and/or meetings. Work cannot be performed from outside of the United States.

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.

As a Sr. Compliance Analyst, Broker/Dealer, your responsibilities will include:

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 metri