Annuity Compliance Analyst

2 weeks ago


Dallas, Texas, United States Cetera Financial Group Full time

At Cetera Financial Group, we seek meticulous professionals who can help us enhance the quality and value we provide to our clients. As a seasoned analyst, you possess the ability to identify trends and convey significant narratives through data. You adeptly gather, organize, and analyze information, recognizing the influence your insights wield over our operations. We are in search of a knowledgeable Annuity Compliance Analyst. The ideal candidate will be responsible for the prompt evaluation of surveillance and suitability assessments related to variable annuity transactions, equity-indexed annuities, and structured/hybrid annuities, including 1035 exchange/replacement services and activities conducted by personnel under the firm's oversight.

Essential Qualifications:

  • Preferred possession of FINRA Series 7, 24, and 63 securities licenses or their equivalents.
  • Demonstrated experience in the annuity sector.
  • A minimum of 2-5 years of supervisory or compliance-related experience.

Key Responsibilities:

  • Conduct timely evaluations of surveillance and suitability assessments for variable annuity transactions, equity-indexed annuities, and structured/hybrid annuities.
  • Authorize responses to surveillance alerts by scrutinizing client information, account activities, documentation, and client disclosure letters.
  • Engage in new projects for the Complex Product Team as required.
  • Assist in fulfilling document requests during regulatory audits and other regulatory and legal inquiries.
  • Collaborate within a team-oriented environment that promotes spontaneous cooperation.
  • Adapt to a dynamic setting where challenges necessitate flexibility and innovative thinking.
  • Exhibit sound judgment and decision-making capabilities to effectively address arising concerns.

Compensation: The annual salary range for this position is between $75,000 and $90,000, complemented by a competitive performance-based bonus. The base salary is influenced by various factors, including but not limited to skill set, years of experience, certifications, and geographic considerations.

#LI-Hybrid



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