Compliance Analyst - Advisory
About the position
Cetera Financial Group is currently seeking an Advisory Compliance Analyst to sit within a team and be a part of a growing area of our firm and directly focused on the advisory side of our business. This is a unique opportunity to work with various members of the organization internally, as well as our field advisors. This is a hybrid role, 2-3 days weekly in office. Candidates must be located in Dallas, TX.
Responsibilities
ā¢ Perform surveillance reviews of advisors, transactions, and client accounts to identify exceptions and detect patterns or trends that may be of concern
ā¢ Analyze applicable information and resources to ensure Firm policies and procedures, as well as all applicable laws and regulations, are followed
ā¢ Review applicable laws and regulations for impact on new and existing policies and procedures, and recommend new policies and procedures
ā¢ Communicate policy changes and issues to affected business units, supervisors, and advisors
ā¢ Determine appropriate escalation to supervisory personnel for resolution
ā¢ Compose and issue compliance-related communications
ā¢ Take active part in the review, monitoring, testing and verification of Firm policies and procedures
ā¢ Assist with regulatory requests
ā¢ Collaborate and provide guidance to Designated Supervisors, Advisors, and members of the firm
Requirements
ā¢ 1-3 years of relevant experience in compliance and/or supervision
ā¢ Ability to interpret supervisory procedures and regulatory requirements
ā¢ Analytical skills, ability to research and resolve complex issues
ā¢ Effective written and oral communication skills with all levels within the organization
ā¢ Proficient in Microsoft Excel, Word, and Access
ā¢ Series 7, 24, 63, or 66 required (or ability to obtain within 3 to 6 months upon hire)
ā¢ The ability to work with many diverse assignments with minimal direction and attention to detail
ā¢ Top-notch oral and written communication skills
ā¢ Keen eye for detail
ā¢ Strong analytical and organizational skills
Cetera Financial Group is currently seeking an Advisory Compliance Analyst to sit within a team and be a part of a growing area of our firm and directly focused on the advisory side of our business. This is a unique opportunity to work with various members of the organization internally, as well as our field advisors. This is a hybrid role, 2-3 days weekly in office. Candidates must be located in Dallas, TX.
Responsibilities
ā¢ Perform surveillance reviews of advisors, transactions, and client accounts to identify exceptions and detect patterns or trends that may be of concern
ā¢ Analyze applicable information and resources to ensure Firm policies and procedures, as well as all applicable laws and regulations, are followed
ā¢ Review applicable laws and regulations for impact on new and existing policies and procedures, and recommend new policies and procedures
ā¢ Communicate policy changes and issues to affected business units, supervisors, and advisors
ā¢ Determine appropriate escalation to supervisory personnel for resolution
ā¢ Compose and issue compliance-related communications
ā¢ Take active part in the review, monitoring, testing and verification of Firm policies and procedures
ā¢ Assist with regulatory requests
ā¢ Collaborate and provide guidance to Designated Supervisors, Advisors, and members of the firm
Requirements
ā¢ 1-3 years of relevant experience in compliance and/or supervision
ā¢ Ability to interpret supervisory procedures and regulatory requirements
ā¢ Analytical skills, ability to research and resolve complex issues
ā¢ Effective written and oral communication skills with all levels within the organization
ā¢ Proficient in Microsoft Excel, Word, and Access
ā¢ Series 7, 24, 63, or 66 required (or ability to obtain within 3 to 6 months upon hire)
ā¢ The ability to work with many diverse assignments with minimal direction and attention to detail
ā¢ Top-notch oral and written communication skills
ā¢ Keen eye for detail
ā¢ Strong analytical and organizational skills