Remote Ria Jobs in Indianapolis, IN (NOW HIRING)

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.

The Supervisory Analyst supports the firm's supervisory framework by reviewing, monitoring and escalating potential risks across financial representative (FR) activities. This role is responsible for executing surveillance, identifying red flags, and ensuring adherence to firm policies and regulatory requirements. The analyst operates under the direction of designated principals and does not hold supervisory sign-off authority.

This is your opportunity to be a part of CNO Financial Group:

• Conduct daily, weekly, and monthly reviews of Registered ..Representativeactivity (supervisory blotters, trading, communications, money movements, and account activity).
• Monitor exception reports and escalate potential issues to supervisory principals.
• Review, track, monitor, and validate submission, completeness and accuracy of RR books and records including but not limited to quarterly transmittals, social media token resets, annual compliance meeting, annual continuing education (firm element and regulatory element).
• Support maintenance of supervisory documentation in accordance with policies and procedures.
• Assist with branch examination preparation and remediation tracking.
• Manage and update ADV Part 2Bs, coordinate and manage client mailings.
• Coordinate OBA reporting, follow up, updates with external monitoring systems.
• Perform first level reviews as required.
• Help support internal reviews.
  

As a Supervisory Analyst your responsibilities will include:

• Working knowledge of FINRA and SEC rules specifically relating to books and records.
• Familiarity with supervision tools (e.g. exception reporting systems, supervision surveillance platforms).
• Attention to detail, analytical thinker, multi priority management skills.
• Clear communication skills.
• High integrity and confidentiality.
  

What you'll need:

• High School Diploma in General Studies.
• Series 7 and 66 (or Series 65) required.
• 3 years of experience in broker/dealer or RIA business.
  

What will set you apart:

• Bachelor's Degree in related discipline, or equivalent 8 years of relevant experience.
• 3 years of experience in broker/dealer or RIA business.
• 2 years of experience in supervisory unit or compliance unit.

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.

CNO Financial Group, Inc. (NYSE: CNO) secures the future of middle-income America. CNO provides life and health insurance, annuities, financial services and workforce benefits solutions through our family of brands, including Bankers Life, Colonial Penn, Optavise and Washington National.Our customers work hard to save for the future, and we help protect their health, income and retirement needs with 3.3 million policies and more than $38.3 billion in total assets. Our 3,300 associates, 4,900 exclusive agents and more than 6,500 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 People Focused, Integrity, Customer Driven, and Excellence. We have offices in more than 220 communities in the U.S., including our headquarters in Carmel, Indiana, and corporate offices in Chicago and Orlando.

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.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided with reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

Compensation

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.