Central Supervisory Principal
The Central Supervisory Principal 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.
Key Job Responsibilities and Accountabilities:
- 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).
Skills, Knowledge, and Abilities:
- Knowledge of mutual funds, annuities, general securities, and advisory accounts required.
- 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.
- Effective time-management skills in order to meet service level agreements and/or project deadlines.
- Demonstrated experience managing challenging client interfaces, navigating situations to resolution and providing exceptional client service.
- Experience in issue management a plus.
- 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.
Education and Experience:
- Five years industry experience
- Typically requires an undergraduate degree 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.
CNO Financial is an Equal Opportunity Employer and Affirmative Action Employer. For more information, please click the following link:
Equal Employment Opportunity is the Law (English)
Equal Employment Opportunity is the Law (Spanish)
Right to Work Poster (English)
Right to Work Poster (Spanish)
As you explore job openings at CNO, please keep in mind that CNO will never ask you to provide payment-related information at any part of the employment application process. And CNO will communicate with you only through emails that are sent from a CNOinc.com or BankerLife.com email address.
If you receive an email purporting to be from CNO that asks for payment-related information or any other personal information, please contact law enforcement and report the email to myHR@CNOinc.com.