Financial Risk Compliance Specialist
2 months ago
The Financial Compliance Analyst role is integral to the Senior Analyst team, focusing on post-trade evaluations of financial instruments to uncover potential risks and breaches of broker-dealer regulations. This position emphasizes the analysis of trading patterns to minimize undue risks to the organization.
Key Responsibilities:
- Conduct thorough monthly reviews of financial products with precision and promptness.
- Examine advisor transactions to identify any infractions of Broker-Dealer regulations.
- Analyze trading behaviors to discern trends and patterns.
- Document and upload finalized reviews into the designated imaging system.
- Enhance industry knowledge by participating in relevant conferences and webinars.
- Support responses to inquiries from Compliance and Supervision departments.
- Contribute to various 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 such as Mutual Funds, Stocks, and Variable Annuities is preferred.
- Ability to quickly grasp new information and work autonomously.
- Possession of Series 7 and 63 licenses, with a willingness to obtain Series 24.
What We Offer:
At Cetera Financial Group, we believe in supporting our employees' aspirations both professionally and personally. Our competitive compensation package includes:
- Comprehensive health, dental, vision, and life insurance plans tailored to diverse lifestyles.
- Accessible mental health resources to support our team members and their families.
- Generous paid time off (PTO) policies, including over 20 days of PTO, paid holidays, wellness days, and volunteer time off (VTO).
- A robust 401(k) Savings plan with a substantial company contribution and access to financial planning resources.
- Paid parental leave for all team members welcoming new family members.
- Health Savings and Flexible Spending Account options to help manage healthcare and other expenses.
- Additional benefits such as Employee Assistance Programs, identity theft protection, and pet insurance.
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. Our unique structure allows us to provide customized support to advisors while offering the advantages of a well-established broker-dealer and registered investment adviser.
We are committed to equal employment opportunities for all applicants and employees, ensuring that all employment decisions are made without discrimination based on various protected classes.
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