Compliance Analyst - Advisory
Cetera Financial Group, El Segundo, CA, United States
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.
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 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.
About Us
About Us
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 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.
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.
Paid parental leave to support all team members with birth, adoption, and foster.
Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress, and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.
Please review ourWorkforce Privacy Policy for further details on what information we collect and the purposes for collection.
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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 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.
About Us
About Us
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 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.
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.
Paid parental leave to support all team members with birth, adoption, and foster.
Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress, and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.
Please review ourWorkforce Privacy Policy for further details on what information we collect and the purposes for collection.
#J-18808-Ljbffr