Compliance Analyst

1 week ago

San Diego, California, United States Cetera Financial Group Full time
At Cetera we need detailed thinkers to help us deliver quality and value to our clients. As an experienced analyst, you know how to uncover trends and tell meaningful stories through data. You collect, organize, and interpret information with ease and understand the impact your insights have on our business.

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.

The position will be a hybrid.

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:
Bachelor's degree or equivalent experience
1-3 years relevant experience in compliance
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, 65 or 66 required (or ability to obtain within 3 to 6 months upon hire)

Compensation:
The base annual salary range for this role is $75,000 to $80,000, 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

What we give you in return:
Not many teams can say that they support people's dreams coming to life... We happen to do that every day. And as important as we know your career is, we recognize that there's a whole lot more to life.

To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:

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, 1 paid wellness day and 1 days of paid volunteer time off (VTO) 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

About Cetera Financial Group:


Cetera Financial Group ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions.

Cetera is an independent financial advisor network and a leading provider of retail services to the investment programs of banks and credit unions.

Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations.

Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.

"Cetera Financial Group" refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions, Cetera Financial Specialists, and First Allied Securities.
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 the 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.
Agencies please note
:
this recruitment assignment is being managed directly by Cetera's Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.
Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.

#J-18808-Ljbffr

  • Compliance Analyst

    1 week ago

    San Francisco, California, United States Robert Walters Full time

    Compliance Analyst Our client, an established and well-performing investment manager in San Francsico CA, is seeking a Compliance Analyst to join their team. As a Compliance Analyst, you will play a crucial role in maintaining the integrity of our client's operations. Your responsibilities will span across various aspects of compliance, legal, and...

  • Compliance Analyst

    1 week ago

    San Francisco, California, United States Robert Walters Full time

    Compliance Analyst If you are interested in applying for this job, please make sure you meet the following requirements as listed below. Our client, an established and well-performing investment manager in San Francsico CA, is seeking a Compliance Analyst to join their team. As a Compliance Analyst, you will play a crucial role in maintaining the integrity...

  • Compliance Analyst

    1 week ago

    San Jose, California, United States Santa Clara Family Health Plan Full time

    Join Our Team as a Compliance Analyst at SCFHP!If you're passionate about ensuring organizational compliance with regulations and laws, this might be the perfect job for you. As a Compliance Analyst at SCFHP, you'll play a critical role in researching, planning, implementing, and monitoring compliance programs. Here's a breakdown of what you'll be...

  • Compliance Analyst

    1 week ago

    San Francisco, California, United States Paymentwall Full time

    We are looking for a Compliance Analyst to join our team in San Francisco. This role is a great opportunity for candidates looking to have hands-on experience working in a licensed fintech company.As a Compliance Analyst, you'll be working with our global compliance team and play a pivotal role in ensuring regulatory compliance and operational excellence....

  • Business Resiliency Compliance Analyst

    2 months ago

    San Jose, California, United States GDH Full time

    GDH Consulting is looking for a Business Resiliency Compliance Analyst to work remotely.Description: Our client is seeking a qualified business continuity professional to function as a Corporate Security – Business Resiliency Program Analyst in RTP, North Carolina. The hours of work would typically be Monday to Friday however this would vary based on real...

  • Business Resiliency Compliance Analyst

    3 weeks ago

    San Jose, California, United States GDH Full time

    GDH Consulting is looking for a Business Resiliency Compliance Analyst to work remotely.Description: Our client is seeking a qualified business continuity professional to function as a Corporate Security – Business Resiliency Program Analyst in RTP, North Carolina. The hours of work would typically be Monday to Friday however this would vary based on real...

  • Compliance Analyst II, Licensing

    1 week ago

    San Diego, California, United States Guild Holdings Company Full time

    Guild Mortgage Company, closing loans and opening doors since 1960. As a mortgage banking firm we are dedicated to serving the home owner/buyer. Our goal is to provide affordable home financing for our customers, utilizing the best terms available while providing a level of professionalism and service unsurpassed in the lending industry.Position...

  • BSA Analyst II

    1 week ago

    San Diego, California, United States Axos Financial, Inc. Full time

    This position is responsible for the preliminary monitoring of the Bank Secrecy Act (BSA) and the Anti-Money Laundering (AML), compliance program designed to ensure that the Bank achieves optimum compliance with the laws. This position provides an as Analyst, Monitoring, Technology, Compliance

  • Global Regulatory Compliance Data Analyst

    1 week ago

    San Jose, California, United States MILLENNIUMSOFT Full time

    Job Title: Global Regulatory Compliance Data Analyst (Mathematics Knowledge) Location: San Jose, CA Duration: 12+ Months Client: Medical Device Company Job Category: Research & Development Employment Type: Contract on W2 (Need US Citizens Or GC Holders Only) No H1Bs Work hours: 40hr/ week Remote for now, but will be expected onsite once site opens. Must be...

  • SRCC Analyst

    1 week ago

    San Diego, California, United States San Diego State University Research Foundation Full time

    Overview: This position is open until filled with an initial application review to take place after June 21, 2024. The pay rate for this position is $ $24.72 per hour depending upon qualifications and internal equities and is non-negotiable. This position works a hybrid in-office/remote schedule and the incumbent must live a commutable distance from SDSU. ...

  • Senior Government Property Analyst

    1 week ago

    San Diego, California, United States Cubic Full time

    Business Unit:Cubic Defense Company Details:When you join Cubic, you become part of a company that creates and delivers technology solutions in transportation to make people's lives easier by simplifying their daily journeys, and defense capabilities to help promote mission success and safety for those who serve their nation. Led by our talented teams around...

  • Sr Fair Lending Compliance Analyst

    1 week ago

    San Francisco, California, United States LendingClub Full time

    Current Employees of LendingClub: Please apply via your internal Workday AccountLendingClub Corporation (NYSE:LC) is the parent company of LendingClub Bank, National Association, Member FDIC. We are the leading digital marketplace bank in the U.S., having helped our nearly 5 million members secure over $90 billion in loans to refinance high-cost debt and...

  • Senior Analyst, Field Operations

    1 week ago

    San Diego, California, United States ClickUp Project Management Full time

    We are hiring a Sr. Analyst for Field Operations!Are you a proactive individual looking to join a dynamic team? We are looking for a Sr. Analyst to collaborate with Sales Leaders, optimize processes, and ensure sales success.Key Responsibilities:- Collaborate with Sales Leaders to improve processes and efficiency.- Analyze sales data to provide insights and...

  • Financial Analyst

    1 month ago

    San Diego, California, United States Randstad USA Full time

    a leading healthcare organization dedicated to providing high-quality care to our community. We are committed to improving patient outcomes and advancing healthcare through innovation and collaboration. As we continue to grow, we are seeking a talented Healthcare Financial Analyst to join our dynamic team. Job Description: As a Healthcare Financial Analyst,...

  • Mid-Level Financial Analyst

    1 week ago

    San Diego, California, United States Serco Full time

    Position DescriptionSerco is looking for a Financial Analyst to join their dynamic and fast-paced Serco Systems Integration and Installation (SI2) Project Finance Team. As a Financial Analyst, you will handle full life-cycle program finances. This role requires a self-starter who excels in a demanding environment, with skills in multitasking, prioritizing...

  • Tax Analyst

    1 month ago

    San Diego, California, United States Sempra Full time

    Primary PurposeThis role will provide tax expertise for specific functional or business tax activities. In essence, a Tax Analyst will: (1) complete filing requirements and financial statement tax disclosures accurately and promptly for both regulated and unregulated businesses, (2) aid in tax and financial statement audits of the company and its...

  • Tax Analyst

    3 weeks ago

    San Diego, California, United States Sempra Full time

    Primary PurposeThis role will provide tax expertise for specific functional or business tax activities. In essence, a Tax Analyst will: (1) complete filing requirements and financial statement tax disclosures accurately and promptly for both regulated and unregulated businesses, (2) aid in tax and financial statement audits of the company and its...

  • Human Resources Analyst II

    1 week ago

    San Diego, California, United States SAN DIEGO ASSOCIATION OF GOVERNMENTS Full time

    Role: Human Resources Data AnalystCompany: Innovative Solutions Inc.Overview of the RoleJoin our team at Innovative Solutions Inc. as a Human Resources Data Analyst, where you will play a key role in supporting the Human Resources program by compiling, analyzing, and presenting data related to talent acquisition, benefits, compensation, and organization...

  • Senior Business Analyst

    3 weeks ago

    San Diego, California, United States Sempra Full time

    Primary PurposeThe Company's sustainability team, in collaboration with the Senior Business Analyst, drives the company's sustainability strategy and objectives. They ensure alignment across the organization and provide stakeholders with detailed annual reports and inventory management plans that highlight the company's proactive approach to managing...

  • Senior Business Analyst

    2 months ago

    San Diego, California, United States Sempra Full time

    Primary PurposeThe Company's sustainability team, in collaboration with the Senior Business Analyst, drives the company's sustainability strategy and objectives. They ensure alignment across the organization and provide stakeholders with detailed annual reports and inventory management plans that highlight the company's proactive approach to managing...