Cetera Financial Group is currently seeking a Compliance Manager to lead a team focused on Regulatory and Client Response.
This is a unique opportunity to support the network of Cetera Financial Group broker / dealers and registered investment advisers with regulatory and customer complaint matters.
This is a hybrid role, candidates must be near an office location : Dallas, TX Des Moines, IA St Cloud, MN St Paul, MN Schaumburg, IL Atlanta, GA .
What you will do :
- Lead a team that receives, processes, investigates, and responds to customer complaints and other allegations of potentially inappropriate activities by the Firm’s associated Registered Representatives and Investment Advisor Representatives.
- Correspond with various regulatory agencies to receive, process, investigate, and respond to regulatory inquiries. This may include the SEC, FINRA and / or state regulatory agencies.
- Lead the team in gathering and analysis of relevant data, inspecting activity, and reviewing documentation as necessary for the determination of resolutions to customer complaints and generation of responses to regulatory inquiries.
- Research and analyze relevant regulations, information, and resources to ensure Firm policies and procedures and all applicable laws and regulations are followed.
- Manage sensitive risk mitigation and regulatory compliance projects.
- Advise CCOs, heads of Supervision, OSJ Managers, Regional Directors, Registered Representatives, and others as necessary.
- Manage and review the work product of team members.
What you need to have :
- 5+ years of securities litigation experience or 7+ years of financial services experience, preferably with an independent broker-dealer.
- Management or leadership experience within a corporate work environment, including organization of team member roles, assistance with employee onboarding and training, and evaluation of employee performance.
- Bachelor’s degree
- FINRA Registrations Series 7 and Series 24 or Juris Doctorate and securities litigation experience.
- Strong management and
- Strong business writing and verbal communication skills
- Thrive in a team-based environment
- Ability to lead and drive issues to resolution
- Detail-oriented
What is nice to have :
- 10+ years of experience working with customers' complaints and regulatory responses, or services as a designated supervisory
- 10+ years of regulatory affairs experience
- 5+ years of management or leadership experience
- Data analysis experience
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