Trade Compliance Specialist
2 days ago
We are seeking a highly skilled Trade Compliance Analyst to join our team at Cetera Financial Group. As a key member of our Compliance team, you will play a critical role in ensuring the integrity of our financial operations and maintaining a strong compliance culture.
Key Responsibilities- Conduct thorough post-trade reviews of financial products to identify potential risks and violations of broker-dealer policies.
- Monitor and analyze advisor trades to detect any deviations from established policies and procedures.
- Develop and implement effective risk management strategies to mitigate undue risk to the firm.
- Collaborate with the Senior Analyst team leader to ensure seamless communication and coordination of compliance efforts.
- Stay up-to-date with industry developments and regulatory changes to ensure our compliance practices remain current and effective.
- 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 a comprehensive 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. If you are a motivated and detail-oriented individual with a passion for compliance, we encourage you to apply for this exciting opportunity.
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