Compliance Analyst - Advisory

Cetera Financial Group•El Segundo, CA

1d•Onsite

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