Compliance Analyst - Risk & Controls
Cetera Financial Group is a leading network of independent retail broker-dealers. They are seeking a Compliance Analyst to ensure adherence to policies and procedures, guide internal partners, and assist with compliance-related inquiries.
Responsibilities
- Review and acknowledge Outside Business Activities (OBAs) submitted by registered field and home office personnel
- Partner with the broker-dealer Compliance teams, as needed, to establish controls and/or conditions of an OBA
- Respond to and address inquiries from field and home office personnel to assist and educate regarding firm policies and procedures as it relates to OBAs
- Track submissions and documentation into respective firm approved tools
- Submit and update OBA information for registered persons
- Primary contacts / internal partners for this position are: Broker-Dealer Compliance and Supervision Teams
Skills
- HS Degree at minimum
- 1-3 years of BD Compliance experience
- Series 7 and 24 required
- Review and analyze OBAs from a practical, policy and regulatory framework
- Provide accurate and thorough written documentation
- Manage several tasks proactively
- Work well independently as well as on a team
- Manage workloads and help team as needed
- Regulations and interpretive guidance
- Industry Best Practices
- Problem resolution
- Thorough analysis
- Excellent written and verbal communication
- MS office including Excel, Word, and Outlook
- Interpersonal relations
- Bachelor's degree preferable
Benefits
- 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 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.
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