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.
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 metrics using test results and other identifiers
• 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:
• Excellent analytical skills, including the ability to evaluate a broad scope of data to define potential risks.
• Excellent organization skills, ability to manage multiple priorities, ability to work independently.
• Ability to meet time sensitive deadlines, and provide in-depth reporting to executives, regulators and legal counsel.
• Demonstrated leadership competency, including the ability to build relationships.
• Collaborate as a subject matter expert for the broker dealer and RIA with enterprise groups and sales force.
• Excellent communication skills, both written and verbal. Proven ability to communicate.
• Ability to travel approximately 30%.
What you'll need:
• 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
What will set you apart:
• Ability to work in Central or Eastern US Time Zone Business Hours
• 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
The Company offers the following benefits for this position, subject to applicable eligibility requirements:
• 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
Click on this link for additional information.
CNO embraces flexibility and encourages you to work where you're most productive. Associates who live within a 60-mile radius of a corporate office (Carmel, Chicago, and Orlando) have access to come into that office.
Associates who live outside of a 60-mile radius of a corporate office (Carmel, Chicago, and Orlando) may perform this role full-time work from home (WFH) from any US based location, as long as you are willing to work central or eastern time zone hours.
All associates may be asked to travel to varying corporate offices periodically. Work cannot be performed from outside of the United States.
Compensation
Pay Range: $81,100.00 - $121,700.00 Annual