Senior Compliance Analyst - Surveillance

Cetera Financial Group • Dallas, TX

1d

About The Position

The Senior Compliance Analyst – Surveillance works directly with the Surveillance Analyst team and reports to department management. The role conducts post-trade reviews of financial products to identify potential risks and violations of Broker-Dealer policies, and identifies trends and patterns in advisors’ trading behavior to help mitigate risk to the firm.

Requirements

• Proficiency in Excel.
• Strong analytical and research skills.
• Strong time-management skills and ability to meet deadlines.
• Some knowledge of financial products, including Mutual Funds, Stocks, and Variable Annuities.
• Familiarity with AI prompting for analysis and reporting.
• Ability to learn information and concepts quickly and work independently.
• Series 7 and Series 63 licenses; willingness to obtain Series 24.

Responsibilities

• Complete monthly product reviews accurately and on time.
• Review advisor trades to detect violations of Broker-Dealer policies.
• Identify trends and patterns in advisors’ trading behavior.
• Upload completed and final reviews to the imaging system.
• Continue developing industry and product knowledge by attending conferences and webinars.
• Assist with responses to inquiries from Compliance and Supervision.
• Assist with additional projects.
• Schedule and facilitate monthly BD calls with Compliance and Supervision.
• Maintain monthly BD call summaries.
• Assist the team with organizing regulatory requests.

Benefits

• Competitive performance-based bonus

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed