CNO Financial Group Hiring for Central Supervisory Principal at Virtual Full Time

CNO Financial Group’s Consumer unit is hiring a Central Supervisory Principal who is responsible for overseeing registered representatives and investment advisor representatives located in Bankers Life Securities, Inc. and Bankers Life Advisory Services branch offices. This position helps ensure the sales practices of our financial representatives and investment advisor representatives follow SEC, FINRA, and state securities laws and regulations and in compliance with the firm’s policies and procedures. This position requires significant interaction with RRs and IARs which includes but not limited to training, mentoring, support and oversight of their business. This position must exhibit leadership, management excellence and operational expertise to execute delegated duties.

As a Central Supervisory Principal, your responsibilities will include:

• FINRA designated Supervisor for Bankers Life Securities (BLS) and Bankers Life Advisory Services (BLAS) registered personnel.

• Strategically partner with Regional Supervisory Principals (RSP’s) in the supervision of Financial Representatives (FR’s) and Investment Advisors (IA’s).

• Ensure day-to-day supervisory tasks are completed in accordance with procedures. Ensure timely and effective responses to Compliance, Supervision and Audit Examinations.

• Actively monitor the supervisory systems for assigned FR’s, IA’s and OSJs and assist the RSP in the resolution of heightened transaction review issues and various other situations.

• Review and approve outside business activities.

• Conduct reviews pursuant to procedures on trade activities, advertising, sales literature, email, texting, outside business activities, and assist in helping to ensure the RRs and IARs reporting to this role satisfy their ongoing compliance and operational requirements.

• Assist in the resolution of customer complaints. May conduct outbound quality assurance calls to clients.

• Conduct onboarding tasks including the review and approval of new FRs and/or IAs. Assist the principal review desk as needed or when cases are escalated.

• Project work and additional tasks as assigned by the Director of Sales Practices (DOSP).

The Central Supervisory Principal position well-suited for you if you:

• If you have knowledge of mutual funds, annuities, general securities, and advisory accounts required.

• Have good knowledge of Envestnet platform, Pershing Netx360, RegEd, Protegent, Morningstar, and other software systems.

• Computer/navigational skills (Microsoft Office). Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills. Ability to quickly grasp complicated situations.

• Have effective time-management skills in order to meet service level agreements and/or project deadlines.

• Can demonstrated experience managing challenging client interfaces, navigating situations to resolution and providing exceptional client service. Experience in issue management a plus.

• Have strong communication skills and the ability to articulate complex concepts to technical teams, as well as FR’s and IA’s. Ability to build effective relationships.

Qualified candidates will have:

• 5 years industry experience

• An undergraduate degree required in Business, Accounting, Finance, or related discipline; or equivalent

• FINRA Series 7, 24, 63, 65 or 66 preferred, or ability to obtain within a specified time frame.

At this time, CNO is not mandating its associates to be vaccinated against COVID-19 as a condition of employment. However, this is an evolving situation, in the future CNO may require its associates to be vaccinated as a condition of employment, subject to reasonable accommodations required by applicable law.

CNO Financial Group offices reopened in April 2022 and we will be 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. 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. 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.

ReqID: JR166353

Category: Sales/Telesales

Job Type: Full-Time

Additional Locations: Virtual, WA; Virtual, IN; Virtual, IL; Virtual, FL; Carmel, AL; Virtual, PA