Compliance Analyst - Advisory
Cetera Financial Group is currently seeking an Advisory Compliance Analyst to join their team, focusing on the advisory side of their business. The role involves performing surveillance reviews, ensuring compliance with laws and regulations, and collaborating with various business units.
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
Skills
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
Benefits
ā¢ Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
ā¢ Easy access to mental health benefits to meet our team members and their families where they are.
ā¢ 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
ā¢ 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
ā¢ Paid parental leave to support all team members with birth, adoption, and foster.
ā¢ Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
ā¢ Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
Company Overview
ā¢ Cetera Financial Group is a privately-held, independent broker-dealer and investment adviser families. It was founded in 2010, and is headquartered in San Diego, California, USA, with a workforce of 1001-5000 employees. Its website is http://www.cetera.com.
Apply Now
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
Skills
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
Benefits
ā¢ Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
ā¢ Easy access to mental health benefits to meet our team members and their families where they are.
ā¢ 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
ā¢ 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
ā¢ Paid parental leave to support all team members with birth, adoption, and foster.
ā¢ Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
ā¢ Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
Company Overview
ā¢ Cetera Financial Group is a privately-held, independent broker-dealer and investment adviser families. It was founded in 2010, and is headquartered in San Diego, California, USA, with a workforce of 1001-5000 employees. Its website is http://www.cetera.com.
Apply Now