Compliance Analyst- Advisory
Cetera Financial Group, El Segundo, CA, United States
Cetera Financial Group is seeking an Advisory Compliance Analyst to join a dynamic team focused on the advisory side of the firm. This hybrid role requires 2-3 days per week in the El Segundo, California office.
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:
1-3 years of relevant experience in compliance and/or supervision
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, 63, or 66 required (or ability to obtain within 6-12 months upon hire)
The ability to work with many diverse assignments with minimal direction and attention to detail
Top‑notch oral and written communication skills
Strong analytical and organizational skills
Compensation:
The base annual salary range for this role is $70,000 to $90,000, plus a competitive performance-based bonus. Base salary depends on skill set, experience, certifications, and location.
What we give you in return:
Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship
Easy access to mental health benefits to meet our team members and their families where they are
20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give employees the time they need to stay close with loved ones, recharge, and give back to their communities
401(k) savings plan with a generous company contribution (up to 5%) and access to a financial professional to help plan for a strong financial future beyond work years
Paid parental leave to support all team members with birth, adoption, and foster
Health Savings and Flexible Spending Account options to help save on healthcare, daycare, commuting, and more
Employee Assistance Program (EAP), LifeLock, pet insurance and more
Cetera Financial Group is an equal opportunity employer. All employment decisions are made without regard to race, color, ancestry, national origin, citizenship, age, disability, pregnancy, genetic characteristics, religion, gender, gender identity, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by law.
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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:
1-3 years of relevant experience in compliance and/or supervision
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, 63, or 66 required (or ability to obtain within 6-12 months upon hire)
The ability to work with many diverse assignments with minimal direction and attention to detail
Top‑notch oral and written communication skills
Strong analytical and organizational skills
Compensation:
The base annual salary range for this role is $70,000 to $90,000, plus a competitive performance-based bonus. Base salary depends on skill set, experience, certifications, and location.
What we give you in return:
Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship
Easy access to mental health benefits to meet our team members and their families where they are
20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give employees the time they need to stay close with loved ones, recharge, and give back to their communities
401(k) savings plan with a generous company contribution (up to 5%) and access to a financial professional to help plan for a strong financial future beyond work years
Paid parental leave to support all team members with birth, adoption, and foster
Health Savings and Flexible Spending Account options to help save on healthcare, daycare, commuting, and more
Employee Assistance Program (EAP), LifeLock, pet insurance and more
Cetera Financial Group is an equal opportunity employer. All employment decisions are made without regard to race, color, ancestry, national origin, citizenship, age, disability, pregnancy, genetic characteristics, religion, gender, gender identity, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by law.
#J-18808-Ljbffr