Compliance Analyst

4 days ago

Des Moines IA 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.

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