Supervisory Analyst
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Job Description
Supervisory Analyst monitoring potential risks across financial representative activities. Conducting reviews and ensuring compliance at CNO Financial Group.
Responsibilities:
- Conduct daily, weekly, and monthly reviews of Registered Representative activity
- Monitor exception reports and escalate potential issues
- Review, track, monitor, and validate submission of RR books and records
- Assist with branch examination preparation and remediation tracking
- Manage and update ADV Part 2Bs and coordinate mailings
Requirements:
- High School Diploma in General Studies
- Series 7 and 66 (or Series 65) required
- 3 years of experience in broker/dealer or RIA business
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
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