Compliance Specialist

1 month ago

Denver, 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. We are looking for a seasoned and experienced Annuity Supervision Specialist. The successful candidate will provide timely review of surveillance and suitability determinations for variable annuity purchases, equity-indexed annuities, and structured/hybrid annuities 1035 exchange/replacements services and activities conducted by persons under the firm’s supervision; approve responses to surveillance alerts by reviewing client information, account activity, documentation, and client disclosure letters; and complete new projects for the Complex Product Team as assigned. This position Hybrid, remote and based out of one of our following offices: Des Moines, IA, Dallas, TX, Atlanta, GA, El Segundo, CA, Denver, CO.


What you need to have:

  • FINRA Series 7, 24 and 63 securities licenses or equivalents preferred.
  • Experience working with Annuities
  • Minimum 2-5 years supervisory or compliance experience



What you will do:

  • Timely review of surveillance and suitability determinations for variable annuity purchases, equity-indexed annuities, structured/hybrid annuities 1035 exchange/replacements services and activities conducted by persons under the firm’s supervision.
  • Approve responses to surveillance alerts by reviewing client information, account activity, documentation, and client disclosure letters.
  • Complete new projects for the Complex Product Team as assigned.
  • Assist with the fulfillment of document requests during regulatory audits and other regulatory and legal inquiries.
  • Work in a team environment that allows for and encourages spontaneous collaboration.
  • Embrace a dynamic environment where challenges will require flexibility and new ideas.
  • Evidence solid judgement and decision-making skills to be properly empowered to address concerns that arise.


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


#LI-Hybrid

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