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Financial Risk Compliance Specialist
2 months ago
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 recognizing trends and patterns in advisors' trading activities to minimize undue risk to the organization.
Key Responsibilities:
- Accurately and promptly execute monthly product assessments.
- Analyze advisor transactions to uncover violations of Broker-Dealer regulations.
- Detect trends and patterns in advisors' trading behaviors.
- Upload finalized reviews to the designated imaging system.
- Enhance industry and product knowledge by participating in relevant 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 products, including but not limited to Mutual Funds, Stocks, and Variable Annuities.
- Capacity to quickly assimilate information and concepts while working independently.
- Possession of Series 7 and 63 licenses, with a willingness to obtain Series 24.
What We Offer:
At Cetera Financial Group, we understand the importance of balancing work and personal life. We provide a competitive salary along with a comprehensive benefits package for full-time positions, which includes:
- Inclusive health, dental, vision, and life insurance plans tailored to support diverse lifestyles and promote preventative care.
- Accessible mental health benefits designed to meet the needs of our 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) to help our employees maintain connections with loved ones, recharge, and contribute to their communities.
- A 401(k) Savings plan with a generous company contribution (up to 5%) and access to financial professionals to assist in planning for a secure financial future.
- Paid parental leave to support all team members during birth, adoption, and foster care.
- Health Savings and Flexible Spending Account options to help save on 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 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 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 customizing services to meet 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 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 protected characteristics.
