Compliance Analyst - Advisory

Cetera • El Segundo, CA

6h

About The Position

Cetera Financial Group is currently seeking an Advisory Compliance Analyst to sit within a team and be a part of a growing area of our firm and directly focused on the advisory side of our business. This is a unique opportunity to work with various members of the organization internally, as well as our field advisors.

Requirements

• 1-3 years of relevant experience in compliance and/or supervision
• Ability to interpret supervisory procedures and regulatory requirements
• Analytical skills, ability to research and resolve complex issues
• Effective written and oral communication skills with all levels within the organization
• Proficient in Microsoft Excel, Word, and Access
• Series 7, 24, 63, or 66 required (or ability to obtain within 6- 12 months upon hire)
• The ability to work with many diverse assignments with minimal direction and attention to detail
• Top-notch oral and written communication skills
• Keen eye for detail
• Strong analytical and organizational skills

Responsibilities

• Perform surveillance reviews of advisors, transactions, and client accounts to identify exceptions and detect patterns or trends that may be of concern
• Analyze applicable information and resources to ensure Firm policies and procedures, as well as all applicable laws and regulations, are followed
• Review applicable laws and regulations for impact on new and existing policies and procedures, and recommend new policies and procedures
• Communicate policy changes and issues to affected business units, supervisors, and advisors
• Determine appropriate escalation to supervisory personnel for resolution
• Compose and issue compliance-related communications
• Take active part in the review, monitoring, testing and verification of Firm policies and procedures
• Assist with regulatory requests
• Collaborate and provide guidance to Designated Supervisors, Advisors, and members of the firm
• Other duties as assigned

Benefits

• Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and foster.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: No Education Listed
• Number of Employees: 251-500 employees