Financial Risk Compliance Specialist

2 weeks ago


Schaumburg, Illinois, United States Cetera Financial Group Full time

The Financial Compliance Analyst role collaborates closely with the Senior Analyst team leader. This position involves conducting post-trade assessments on various financial instruments to pinpoint potential risks and breaches of broker-dealer regulations. Additionally, the analyst will analyze trading patterns and trends of advisors to reduce unnecessary risks to the organization.

Key Responsibilities:

  • Conduct thorough monthly reviews of financial products with precision and punctuality.
  • Examine advisor transactions to identify any infractions of Broker-Dealer regulations.
  • Detect and analyze trends in advisor trading activities.
  • Submit finalized reviews to the document management system.
  • Enhance industry and product knowledge by participating in relevant conferences and webinars.
  • Support the Compliance/Supervision team by addressing inquiries.
  • Contribute to various additional projects as needed.

Qualifications:

  • 1-2 years of experience in Compliance, Surveillance, or Supervision is required.
  • Proficiency in Excel is essential.
  • Strong analytical and research capabilities are necessary.
  • Excellent time management skills with the ability to meet deadlines.
  • Familiarity with financial service products, including but not limited to Mutual Funds, Stocks, and Variable Annuities.
  • Ability to quickly grasp new information and concepts and work independently.
  • Possession of Series 7 and 63 licenses, with a willingness to obtain Series 24.

Benefits:

Cetera Financial Group values the balance between work and personal life. We offer a competitive salary along with a comprehensive benefits package for full-time employees, which includes:

  • Inclusive health, dental, vision, and life insurance plans tailored to support diverse lifestyles and ensure preventative care.
  • Accessible mental health benefits to support our team members and their families.
  • Generous paid time off (PTO) policies, including over 20 days of PTO, paid holidays, a wellness day, and volunteer time off (VTO).
  • A 401(k) Savings plan with a substantial company contribution (up to 5%) and access to financial professionals for future planning.
  • Paid parental leave for all team members welcoming new children through birth, adoption, or foster care.
  • Health Savings and Flexible Spending Account options to assist with healthcare, daycare, commuting, and other expenses.
  • Employee Assistance Program (EAP), LifeLock, Pet Insurance, and additional benefits.

About Cetera Financial Group:

Cetera Financial Group is a prominent network of independent retail broker-dealers dedicated to providing objective financial advice to individuals, families, and corporate retirement plans nationwide through trusted financial advisors and institutions. Cetera operates as an independent financial advisor network and a leading provider of retail services to the investment programs of banks and credit unions.

Through its various distinct firms, Cetera delivers the advantages of a large, established broker-dealer and registered investment adviser while catering to the unique needs and aspirations of advisors and institutions. Support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management assistance, and innovative technology solutions.

Cetera Financial Group is committed to equal employment opportunities for all applicants and employees, ensuring that all employment decisions are made without regard to any protected class.



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