Supervisory Analyst - REMOTE from any US based location

Job Details The stated pay range is based on a national‑average location. Actual salary is determined by relevant work experience, skills, and location. This position is bonus eligible. Candidates may be asked to travel to corporate offices for interviews, training, or meetings. Work cannot be performed from outside the United States. About the Role The Supervisory Analyst supports the firm’s supervisory framework by reviewing, monitoring, and escalating potential risks across financial representative activities. The analyst operates under the direction of designated principals and does not hold supervisory sign‑off authority. This is your opportunity Conduct daily, weekly, and monthly reviews of Registered Representative activity (supervisory blotters, trading, communications, money movements, and account activity). Monitor exception reports and elevate potential issues to supervisory principals. Review, track, monitor, and validate submission, completeness and accuracy of RR books and records including quarterly transmittals, social media token resets, annual compliance meetings, and continuing education. 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, and updates with external monitoring systems. Perform first‑level reviews as required. Help support internal reviews. Responsibilities Working knowledge of FINRA and SEC rules specifically relating to books and records. Familiarity with supervision tools (exception reporting systems, supervision surveillance platforms). Attention to detail and analytical thinking with the ability to manage multiple priorities. 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 or compliance unit. Benefits Medical insurance Dental insurance Vision insurance 401(k) retirement plan with company match Short‑term and long‑term disability insurance Paid time‑off and corporate holidays Paid parental leave Company‑paid life insurance Compensation Pay Range: $54,900.00 – $82,300.00 Annual Equal Opportunity Employer 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. #J-18808-Ljbffr CNO Financial Group