Compliance Analyst - Advisory

Description

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
• Keen eye for detail
• 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.