At Cetera we need detailed thinkers to help us deliver quality and value to our clients. As an experienced analyst, you know how to uncover trends and tell meaningful stories through data.
You collect, organize, and interpret information with ease and understand the impact your insights have on our business.
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. The position will be a hybrid between work from home and in office at our San Diego location.
What you will do :
- Perform surveillance reviews of advisors, transactions, and client accounts to identify exceptions and detect patterns or trends that may be of concern
- Analyze applicable information and resources to ensure Firm policies and procedures, as well as all applicable laws and regulations, are followed
- Review applicable laws and regulations for impact on new and existing policies and procedures, and recommend new policies and procedures
- Communicate policy changes and issues to affected business units, supervisors, and advisors
- Determine appropriate escalation to supervisory personnel for resolution
- Compose and issue compliance-related communications
- Take active part in the review, monitoring, testing and verification of Firm policies and procedures
- Assist with regulatory requests
- Collaborate and provide guidance to Designated Supervisors, Advisors, and members of the firm
- Other duties as assigned
What you need to have :
- Bachelor’s degree or equivalent experience
- 1-3 years relevant experience in compliance
- Ability to interpret supervisory procedures and regulatory requirements
- Analytical skills, ability to research and resolve complex issues
- Effective written and oral communication skills with all levels within the organization
- Proficient in Microsoft Excel, Word, and Access
- Series 7, 24, 65 or 66 required (or ability to obtain within 3 to 6 months upon hire)
Compensation : The base annual salary range for this role is $75,000 to $80,000, plus a competitive performance-based bonus.
Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location.
Base annual salary may also differ significantly due to geography and cost of labor considerations.
LI-Hybrid
Compliance Analyst - Advisory
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. As an experienced analyst, you know how to uncover trends and tell meaningful stories through data. C...
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