Compliance Analyst
3 days ago
We are seeking a highly skilled Compliance Analyst to join our Broker Dealer Compliance team. As a Compliance Analyst, you will play a critical role in ensuring that our firm's policies and procedures are followed, and that we remain compliant with all relevant laws and regulations.
Key Responsibilities- Respond to and address inquiries from field and home office personnel to ensure compliance with applicable laws, regulations, and firm policies and procedures.
- Review and process client accommodations requested by field partners.
- Monitor industry publications/notifications for regulatory notices and new rules.
- Assist with updating compliance policies and procedures manuals.
- Provide oversight of surveillance reports to ensure actionable items are addressed.
- Review and acknowledge requests for Private Securities Transactions.
- Liaison for Security and Vulnerable Adult Incidents with our field and internal partners.
- Review Office Sharing arrangements for the firm.
- Provide secondary review for regulatory responses.
- Identify and maintain risk areas for annual compliance training.
- Monitor and test firm policies and procedures based on risk levels to the firm.
- Perform 3120 and ad hoc testing on specific Compliance and firm functions.
- Provide occasional training to field and home office personnel on compliance topics.
- Review and analyze individuals seeking to affiliate with the firm.
- Input cases and documentation into respective firm-approved tools.
- Keep abreast of new products, technologies, and their applications and compliance implications.
- 1-3 years of BD Compliance experience.
- Series 7 and 24 required.
- Regulations and interpretive guidance.
- Industry Best Practices.
- Problem resolution.
- Thorough analysis.
- Excellent written and verbal communication.
- Interpersonal relations.
- Review and analyze cases from a practical, policy, and regulatory framework.
- Provide accurate and thorough written documentation.
- Manage several tasks proactively.
- Work well independently as well as on a team.
- Manage workloads and help team as needed.
- HS Degree at minimum.
- Series 4 and/or 53 preferred.
- MS Office, including Excel, Word, PowerPoint, and Salesforce (preferable).
- Bachelor's degree preferable.
Cetera Financial Group is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families, and company retirement plans across the country through trusted financial advisors and financial institutions.
We are committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business.
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