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Compliance Officer

2 months ago

Atlanta, Georgia, United States Cetera Full time
Compliance Manager Opportunity

Cetera Financial Group is seeking a seasoned Compliance Manager to lead a team focused on regulatory and client response. This role offers a unique opportunity to support the network of Cetera Financial Group broker/dealers and registered investment advisers with regulatory and customer complaint matters.

Key Responsibilities:
  • Lead a team that receives, processes, investigates, and responds to customer complaints and regulatory inquiries.
  • Correspond with regulatory agencies, including the SEC, FINRA, and state regulatory agencies.
  • Lead the team in gathering and analyzing data, inspecting activity, and reviewing documentation to determine resolutions to customer complaints and regulatory inquiries.
  • Research and analyze relevant regulations, information, and resources to ensure Firm policies and procedures are followed.
  • Manage sensitive risk mitigation and regulatory compliance projects.
  • Advise CCOs, heads of Supervision, OSJ Managers, Regional Directors, and others as necessary.
  • Manage and review the work product of team members.
Requirements:
  • 5+ years of securities litigation experience or 7+ years of financial services experience, preferably with an independent broker-dealer.
  • Management or leadership experience within a corporate work environment, including organization of team member roles, assistance with employee onboarding and training, and evaluation of employee performance.
  • Bachelor's degree.
  • FINRA Registrations Series 7 and Series 24 or Juris Doctorate and securities litigation experience.
  • Strong management and business writing and verbal communication skills.
  • Ability to lead and drive issues to resolution.
  • Detail-oriented.
Preferred Qualifications:
  • 10+ years of experience working with customers' complaints and regulatory responses, or services as a designated supervisory.
  • 10+ years of regulatory affairs experience.
  • 5+ years of management or leadership experience.
  • Data analysis experience.