Sr. Compliance Analyst, Broker/Dealer
Bankers Life Securities, Inc/Bankers Life Advisory Services, Inc
Description
Position at CNO Financial Group, Inc.
CNO Financial Group’s Legal Department is hiring a Sr. Compliance Analyst, Broker/Dealer to assist the Associate Chief Compliance Officer for Bankers Life Securities, Inc, (BLS) and Bankers Life Advisory Services, Inc, (BLAS). This person will be a key contributor on the BLS/BLAS Compliance team and will be effective in the implementation, maintenance, and administration of the Compliance Program. This position proactively works with affiliate areas and collaborates with internal business partners to identify compliance requirements and to ensure regulatory compliance in customer complaints. Use of regulatory principal skills and authority is crucial to help implement processes, systems, reporting, and controls around complaint management for our businesses and business models.
This is your opportunity to assist in regulatory compliance testing activities and helps to establish standards and risk controls. A key element of the Sr. Compliance Analyst position is annual regulatory compliance and Anti Money Laundering reviews. To effectively achieve compliance goals, the Sr. Compliance Analyst maintains current knowledge of regulatory requirements and developments, monitors risk, identifies and corrects possible gaps and has technical skills necessary to maintain and implement key functions of the compliance vendor systems utilized.
As a Sr. Compliance Analyst, Broker/Dealer, your responsibilities will include:
Regulatory Complaint Review and Filing
Maintain, revise and implement compliant records on RegEd (vendor system)
Ensure compliance with FINRA complaint record keeping and filing requirements
Compliant disclosure events and filing requirements
Apply regulatory guidance in determination of compliant determinations, conclusions and violations
Collaborate with the businesses and lead the day-to-day complaints process to understand the grievance, identify the potential cause, and determine the required remediation required, as well as assist the businesses in responding to the customers
Execute processes for identifying, measuring, and reporting data regarding key compliance risk indicators
Conduct analyses of data to identify risks and root causes for Senior Management
Assist the relationship with regulatory agencies, examiners, internal auditors and other company team members and assists with action plans built as a result of examinations, audits or internal testing
Use a mix of business and technology knowledge to liaise between functions in order to support business process verification and utilizing technology to meet business goals
Monitoring and Testing
Perform testing and analysis of systems and operations to verify compliance with regulatory requirements, written supervisory procedures and company policy
Annual Reviews – Conduct annual regulatory reviews customer account profiles under the Anti-Money Laundering (AML) – Program
Review and revise and perform User Acceptance Testing (UAT) for compliance questionnaires on RegEd
Other duties
Quarterly compliance reporting/ meetings
Maintenance of Firm Written Supervisory Procedures and manuals
Act as conduit between compliance and associates
Provide timely updates and communication to Supervisory Principals and OSJ/Branch BOAs regarding compliance and regulatory topics
Support/review compliance, operations and other corporate communications; disseminate relevant materials to management and associates
The Sr. Compliance Analyst, Broker/Dealer position is well-suited for you if you have:
Strong understanding of FINRA and SEC regulations
Excellent Microsoft Office skills (Excel, Word, PowerPoint)
Excellent written and verbal communication skills
Ability to quickly grasp complex concepts, including global business and regulatory matters
Proven expertise in delivering high quality work products, reflecting attention to detail and analytical prowess
Excellent oral and written communication skills
Ability to create reporting (graphs, executive summary) on key compliance metrics
Testing experience associated to internal project work, including participating in project meetings to provide testing status, and reporting any missing/incomplete capabilities identified during testing
Reporting experience for software defects and/or functional defects identified during testing
What you’ll need:
Series 7 and 24
Bachelor’s degree or 8 years experience as equivalent
Three years of experience in a securities/investments environment
What will set you apart:
Experience in a compliance function with the following concentrations:
SEC-registered investment adviser experience
FINRA member firm
Complaint resolution
Experience reviewing marketing materials and RFPs for an investment adviser
Industry and securities markets, as well as knowledge of securities laws that relate to governance
Compliance and business risk, and implement solutions to address and mitigate such risk
Relational database models
Participation in special projects related to business processes, internal controls and audit verification
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. CNO Financial Group offices reopened in April 2022 and is pursuing a hybrid working model. 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.
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.
CNO Financial is an Equal Opportunity Employer and Affirmative Action Employer. For more information, please click the following link:
Equal Employment Opportunity is the Law (English)
Equal Employment Opportunity is the Law (Spanish)
Right to Work Poster (English)
Right to Work Poster (Spanish)
As you explore job openings at CNO, please keep in mind that CNO will never ask you to provide payment-related information at any part of the employment application process. And CNO will communicate with you only through emails that are sent from a CNOinc.com or BankerLife.com email address.
If you receive an email purporting to be from CNO that asks for payment-related information or any other personal information, please contact law enforcement and report the email to myHR@CNOinc.com.