Director, Sales Practice Supervision & Oversight - REMOTE

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.

CNO Financial Group’s Bankers Life Securities Division is hiring a Director, Sales Practice Supervision & Oversight to be responsible for the design, implementation and oversight of the supervisory system to ensure compliance with FINRA rules, internal policies, and applicable securities laws.

This is your opportunity to provide leadership over supervision, sales practice risk, and field oversight while partnering closely with Compliance, Legal, and Operations to mitigate regulatory and reputational risk and support responsible growth.

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, or Orlando) have access to that office. Associates who live outside of a 60‑mile radius may perform this role full‑time work from home from any U.S. based location, as long as 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.

Responsibilities

As a Director, Sales Practice Supervision & Oversight, your responsibilities will include:

• Designing, maintaining, and enhancing the firm’s written supervisory procedures in accordance with FINRA Rule 3110.
• Establishing a risk‑based supervisory framework across branches, OSJs, and central supervisory units.
• Overseeing controls, testing and validation of the system.
• Overseeing surveillance of trading activity, outside business activities, private securities transactions, communications with the public, gifts, gratuities, and conflicts of interest.
• Escalating and managing potential violations.
• Partnering with Compliance on regulatory examinations, inquiries, or other related matters.
• Partnering with AML officer to ensure alignment with AML program requirements relating to customer onboarding and due diligence, money movement, suspicious activity.
• Establishing a framework for risk‑based branch assessments and conduct.
• Designing, implementing, and managing exception reporting, surveillance platforms, alert logic, thresholds, rules engines and false positive management.
• Developing a framework for addressing control issues and recommending appropriate steps to address them; following up to verify appropriate and timely resolution of issues.
• Ensuring effective systems are in place to monitor and oversee rep sales practice including but not limited to investigating the background of each applicant for registration, outside business activities, use of marketing materials and sales literature, correspondence, onboarding and training, private securities transactions, annual rep requirements, rep trade escalations.
• Preparing and delivering presentations at company functions, training events, and conferences.

Desired Candidate Profile

The Director, Sales Practice Supervision & Oversight position is well‑suited for you if you:

• Have deep knowledge of FINRA Rules 3110, 3120, 3310, Investment Advisors Act Rules, and related SEC regulations.
• Demonstrate advanced Excel knowledge, working knowledge of SQL, and familiarity with BI tools and knowledge of financial services fintech solutions.
• Have a strong ability to prioritize risks, recognize trends and patterns, and root cause.
• Can drive systemic fixes.

What You’ll Need

• Bachelor’s degree, OR 8 years of relevant experience, as an equivalent.
• 10 years of broker‑dealer experience with relevant supervisory leadership with 2 years of people‑management experience.
• Candidates must possess one of the following combinations of FINRA licenses: Series 7/Series 66/Series 24 or Series 7/Series 63/Series 65/Series 24.

What Will Set You Apart

• The ability to build credibility with leadership, the field, and regulators.
• The ability to identify risk early and act decisively using judgment under ambiguity.
• Candidate location may need to be deemed an OSJ registered branch.

Benefits

• 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

Compensation

Pay Range: $118,600.00 – $178,000.00 Annual

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.

Additional Locations

Philadelphia, PA; Chicago, IL; Milwaukee, WI;