Regional Supervisory Principal
The Regional Supervisory Principal (RSP) is the first line supervisor for BLS and BLAS Financial Representatives (FR’s), Investment Advisors (IA’s) and Office of Supervisory Jurisdictions (OSJ) Principals in their designated region. He/she will be responsible for ensuring that the assigned FR’s and IA’s are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm. The RSP is charged with maintaining ongoing relationships with their designated FR’s, IA’s and OSJ Principals to educate, guide, and assist them with their compliance responsibilities. They will act as a point of contact and assist where necessary to help build compliant business partnerships with Bankers Life Securities and Bankers Life Advisory Services.
Key Job Responsibilities and Accountabilities:
- Engages in regular supervisory office visits (SOVs) with assigned FR’s and IA’s and OSJ Managers in order to promote company supervisory practices, follow up on audit findings and proactively addressing potential compliance issues to minimize risk to the client, the OSJ and the firm.
- Conducts investigations and takes appropriate corrective action as needed in collaboration with the Director of Sales Practices (DOSP) and Chief Compliance Officer (CCO) and other internal CNO compliance and or supervision departments.
- Reviews and follows-up with principals regarding deficiencies identified in compliance reviews and makes recommendations for corrections and identifies training opportunities.
- Identifies and executes training based on advisor needs and opportunities.
- Participates in training in coordination with the Field Development Group (FDG).
- Actively monitors the supervisory systems for their assigned FR’s and IA’s and OSJs and assist in the resolution of heightened transaction review issues and various other situations.
- Acts as a conduit of information between the Home Office and the Field to assist with problem solving.
- Assist with regulatory exams and requests as well as other internal investigations and reviews relative to supervised FR’s and IA’s and OSJ’s.
- Works in coordination with home office Associate Supervisory Principals.
Skills, Knowledge, and Abilities:
- Good understanding of sales practices and compliance as it pertains to securities.
- Good understanding of region as well as the business culture of the corresponding branches.
- Knowledge of mutual funds, annuities, general securities, and advisory accounts .
- Good knowledge of Envestnet platform, Pershing Netx360, RegEd, Protegent, Morningstar, and other software systems .
- Ability to work in a fast paced/high volume environment and be flexible with work schedule .
- Strong knowledge of FINRA SEC, and state rules and regulations.
- Ability to develop compliance systems and strategies for effective supervision.
- Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills .
- Comfortable operating under tight deadlines .
- Excellent oral and written communication skills.
- Excellent troubleshooting skills.
- Demonstrated knowledge managing challenging client interfaces, navigating situations to resolution and providing exceptional client service.
- Strong communication skills and the ability to articulate complex concepts to technical teams, as well as FR’s and IA’s.
- Regulatory and supervisory-based decision skills.
- Ability to quickly grasp complicated situations.
- Ability to travel up to 25%.
- Knowledge in issue management a plus.
- Ability to build effective relationships.
Education and Experience:
- Typically requires a Bachelor’s degree required in Business, Accounting, Finance or related discipline, or equivalent.
- Typically, has at least 7-10 years progressively responsible compliance experience within investments/financial services FINRA Series 7, 24, 63, 65 or 66 preferred or other industry credential available to ensure licensing and registration.
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.