Trade Compliance Specialist
4 weeks ago
We are seeking a highly skilled Trade Compliance Analyst to join our team at Cetera Financial Group. As a Trade Compliance Analyst, you will play a critical role in ensuring the integrity of our financial transactions and maintaining compliance with regulatory requirements.
Key Responsibilities:- Conduct thorough reviews of financial transactions to identify potential risks and violations of broker-dealer policies.
- Monitor and analyze trade data to detect trends and patterns that may indicate non-compliance.
- Collaborate with the Senior Analyst team leader to develop and implement effective compliance strategies.
- Provide expert advice and guidance to internal stakeholders on trade compliance matters.
- Stay up-to-date with changing regulatory requirements and industry best practices.
- 1-2 years of experience in Compliance, Surveillance, and/or Supervision.
- Proficiency in Excel and strong analytical and research skills.
- Strong time management skills and ability to meet deadlines.
- Knowledge of financial services products, including Mutual Funds, Stocks, and Variable Annuities.
- Ability to learn quickly and work independently.
- Series 7, 63, and willingness to obtain Series 24.
Cetera Financial Group is committed to providing a competitive salary and benefits package, including inclusive health, dental, vision, and life insurance plans, as well as paid time off, 401(k) savings plan, and more.
We value diversity and inclusion and are an equal opportunity employer. We welcome applications from qualified candidates who share our commitment to excellence and customer satisfaction.
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Trade Compliance Specialist
3 weeks ago
Gondrecourt-le-Château, Grand Est, United States Cetera Financial Group Full timeJob SummaryWe are seeking a highly skilled Trade Compliance Analyst to join our team at Cetera Financial Group. As a Trade Compliance Analyst, you will play a critical role in ensuring the integrity of our financial transactions and maintaining compliance with regulatory requirements.Key ResponsibilitiesConduct thorough reviews of financial transactions to...
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Global Trade Specialist
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Safety and Compliance Specialist
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Quality Compliance Specialist
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Quality Compliance Specialist
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