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Director, Sales Practice Supervision & Oversight - REMOTE at CNO Financial Group - ApplyBlast

Director, Sales Practice Supervision & Oversight - REMOTE

CNO Financial Group

5 months ago

3.6 on Glassdoor

Carmel, IN

Hybrid

Full Time

Director

0 applicants

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About this role

CNO Financial Group’s Bankers Life Securities Division is hiring a Director, Sales Practice Supervision & Oversight to oversee compliance with FINRA rules, internal policies, and securities laws while partnering with Compliance, Legal, and Operations to mitigate regulatory and reputational risk.

Responsibilities

Designing and maintaining supervisory procedures in accordance with FINRA Rule 3110
Establishing a risk-based supervisory framework across branches
Overseeing controls and testing of the supervisory system
Monitoring and overseeing rep sales practice including background checks and private transactions
Escalating and managing potential violations

Skills

Qualifications

Bachelor’s degreeSeries 7/Series 66/Series 24Series 7/Series 63/Series 65/Series 24

About CNO Financial Group

cnoinc.com

Headquarters

Carmel, Indiana, United States

Company Size

1001-5000 employees

Founded

1979

View Profile

CNO Financial Group is a holding company that provides life and health insurance, annuities, and financial services to middle-income Americans through its family of brands, including Bankers Life, Colonial Penn, and Washington National. The company supports over 3.2 million policies and manages $38 billion in total assets, serving individuals, families, and businesses across more than 220 locations nationwide. CNO is publicly traded on the NYSE under the ticker symbol CNO.