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Regulatory Compliance Analyst
2 months ago
The Regulatory Compliance Analyst role collaborates closely with the Senior Analyst team leader. This position involves conducting post-trade evaluations on financial instruments to pinpoint potential risks and breaches of broker-dealer regulations. Additionally, the role encompasses recognizing trends and patterns in advisors' trading activities to minimize undue risk to the organization.
Key Responsibilities:
- Execute monthly product evaluations with precision and punctuality.
- Analyze advisor transactions to uncover violations of Broker-Dealer regulations.
- Detect trends and patterns in advisors' trading practices.
- Upload finalized evaluations to the document management system.
- Enhance industry and product knowledge by participating in conferences and webinars.
- Support responses to inquiries from Compliance/Supervision teams.
- Contribute to 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 information and concepts and work independently.
- Possession of Series 7 and 63 licenses, with a willingness to obtain Series 24.
Compensation:
The annual salary range for this position is between $60,000 and $70,000, complemented by a competitive performance-based bonus. The base salary is influenced by various factors, including skill set, years of experience, certifications, and geographical location.
Benefits:
Cetera Financial Group is dedicated to supporting its employees' aspirations. In addition to a competitive salary, we offer a comprehensive benefits package for full-time positions, which includes:
- Inclusive health, dental, vision, and life insurance plans tailored to diverse lifestyles.
- Accessible mental health benefits to support team members and their families.
- Over 20 days of paid time off (PTO), paid holidays, one paid wellness day, and one day of paid volunteer time off (VTO).
- 401(k) Savings plan with a generous company contribution (up to 5%) and access to financial professionals.
- Paid parental leave for all team members welcoming new children through birth, adoption, or fostering.
- Health Savings and Flexible Spending Account options for healthcare, daycare, commuting, and more.
- 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 committed to delivering 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 is a leading provider of retail services to the investment programs of banks and credit unions.
Through its various distinct firms, Cetera offers both independent and institution-based advisors the advantages of a well-established broker-dealer and registered investment adviser, while catering to the unique needs and aspirations of advisors and institutions. Support resources available 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 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.
