Director, Sales Practice Supervision & Oversight - REMOTE

📋 Description

• • The Director, Sales Practice Supervision & Oversight is responsible for designing, implementing, and overseeing the firm’s supervisory system to ensure compliance with FINRA rules, internal policies, and securities laws, playing a critical role in mitigating regulatory and reputational risk while supporting responsible growth.
• • Day-to-day responsibilities include designing and maintaining written supervisory procedures per FINRA Rule 3110, establishing a risk-based supervisory framework across branches and OSJs, overseeing controls and testing, monitoring trading activity and outside business activities, escalating potential violations, partnering with Compliance and AML on regulatory matters, conducting risk-based branch assessments, managing surveillance platforms and alert logic, developing frameworks for control issue resolution, and overseeing representative onboarding, training, and annual requirements.
• • The role sits within CNO Financial Group’s Bankers Life Securities Division, which provides financial services and workforce benefits solutions through brands like Bankers Life and Colonial Penn, serving 3.3 million policies and over $38.3 billion in assets, with a mission to secure the future of middle-income America through integrity, customer focus, and excellence.
• • In this role, you will develop deep expertise in securities supervision, lead cross-functional initiatives with Compliance, Legal, and Operations, influence systemic improvements in risk management, and gain visibility with leadership and regulators while advancing your career in a financially strong, values-driven organization committed to professional growth.