Financial Risk Compliance Specialist

3 days 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 evaluations on various financial instruments to pinpoint potential risks and breaches of broker-dealer regulations. Additionally, this role focuses on identifying trends and patterns in advisors' trading activities to reduce unnecessary risks to the organization.

Key Responsibilities:

  • Perform monthly product evaluations with accuracy and punctuality.
  • Examine advisor transactions to uncover any infractions of Broker-Dealer regulations.
  • Analyze trading behaviors to identify significant trends and patterns.
  • Submit finalized reviews to the imaging system for record-keeping.
  • Enhance industry and product knowledge by participating in relevant conferences and webinars.
  • Support the Compliance/Supervision team in 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.
  • Capacity to quickly assimilate information and concepts and work autonomously.
  • Possession of Series 7 and 63 licenses, with a willingness to obtain Series 24.

What We Offer:

At Cetera Financial Group, we take pride in supporting our employees' aspirations while recognizing the importance of work-life balance. We provide a competitive salary and a comprehensive benefits package for full-time positions, which includes:

  • Inclusive health, dental, vision, and life insurance plans tailored to diverse lifestyles, emphasizing preventative care and protection against unforeseen circumstances.
  • Accessible mental health benefits to support our team members and their families.
  • Generous paid time off (PTO) policy, including over 20 days of PTO, paid holidays, a wellness day, and volunteer time off (VTO) to foster community engagement.
  • 401(k) Savings plan with a substantial company contribution (up to 5%) and access to financial professionals for future planning.
  • Paid parental leave to assist all team members during birth, adoption, and foster care.
  • Health Savings and Flexible Spending Account options to help manage 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 delivering objective financial advice to individuals, families, and corporate retirement plans nationwide through trusted financial advisors and institutions. As an independent financial advisor network, Cetera provides retail services tailored to the investment programs of banks and credit unions.

Through its various distinct firms, Cetera equips independent and institution-based advisors with the advantages of a well-established broker-dealer and registered investment adviser, while customizing services to meet their unique needs and goals. Advisor support resources offered by 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 providing equal employment opportunities for all applicants and employees, ensuring that all employment decisions are made without regard to any protected class as defined by state and federal law.

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