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Principal Reviewer
CNO Financial Group
Chicago, IL, United States
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Job Title Principal Reviewer - Broker/Dealer Group
Location Chicago, IL
Job Details
Bankers Life, Securities, is a newly formed broker-dealer group that will be working closely with Bankers Life, an established insurance company with a footprint of over 300 locations in the United States. This group will be in high growth mode for the next several years.
We have an opening for a Principal Reviewer to add to our team to help drive decision-making and best practices. This position will deliver high quality customer service while maintaining and adhering to regulatory standards and best practices. In this role you will be responsible for centralized supervision of registered representative’s securities transactions and will work closely with all Registered Representatives and Associate Persons of the B/D to ensure compliance with FINRA, SEC and State Regulations. The ideal candidate possesses excellent attention to detail, communication skills, financial background and understanding of the financial securities business.
Core Responsibilities:
• Review and approve client new account documentation and trade blotters
• Conduct suitability review of customer trading activity, mutual funds, variable annuity and equities, ensuring compliance with all internal procedures and industry regulations
• Conduct onsite branch exams of registered branch offices, report findings to compliance
• Make periodic supervisory visits to field offices/conference for training and mentoring registered representatives
• Conduct onsite training for newly contracted registered representatives
• Analyze trade and exception reports and take appropriate action
• Assist in the on-boarding new registered representative and provide on-going operational support
• Identify and analyze customer and firm risk, update compliance as necessary
• Resolves registered representative concerns by researching details, identifying most efficient method of handling the concern, and evaluating risks to all parties before resolving
• Evaluates possible solutions to complex problems, prioritizing, and refining those solutions
• Builds and maintains a broad knowledge base of the securities industry (regulatory, markets, products, processes, and operational methodologies)
• Educates and trains registered representatives by determining needs, providing various alternatives of action, and explaining specifics of each product or service
Job Requirements:
• Bachelor's degree in Business, Finance.
• FINRA Series 7, 24, 53 preferred. Will consider 7, 63 and the ability to pass a 24 within 90 days of employment.
• Additional Registrations; Series 63 and 65/66 Registration within 180 days in position.
• Ideally 5-10 years progressively responsible compliance experience within investments/financial services
• Ability to perform technical research and analysis of laws and regulations and apply them to company operations, products, and securities transactions.
• Familiarity with Pershing NetX 360 and SunGard Protegent a plus
• Ability to travel up to 25%, one week of the month
CNO Financial is an Equal Opportunity Employer and Affirmative Action Employer. For more information, please click the following link
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Right to Work Poster (English)
Right to Work Poster (Spanish)