Compliance Manager
4 weeks ago
Cetera Financial Group is seeking a seasoned professional to lead a team focused on regulatory and client response. This is a unique opportunity to support the network of Cetera Financial Group broker/dealers and registered investment advisers with regulatory and customer complaint matters.
This is a hybrid role, requiring candidates to be near an office location. The ideal candidate will have a strong background in securities litigation and regulatory affairs, with experience in managing teams and driving issues to resolution.
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.
- 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.
- 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.
Preferred Qualifications:
- 10+ years of experience working with customers' complaints and regulatory responses.
- 10+ years of regulatory affairs experience.
- 5+ years of management or leadership experience.
- Data analysis experience.
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