Compliance Analyst

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Job description

Position Title: Compliance Analyst - Compliance Controls

What we need:

Cetera Financial Group is currently seeking a Compliance Analyst for our company's office located in El Segundo, California. This is a unique opportunity to be part of a growing area of our firm and directly support our amazing Representatives.

What you will do:

As a Compliance Analyst you will work on a team supporting the Compliance Controls department in making and communicating decisions to the field of proposed business activities. The ideal candidate will have experience in a deadline driven environment and have the ability to make

suggestions that may impact the company overall. This position is located at our corporate headquarters in El Segundo, CA.

What you will do:

• Act as Continuing Education Coordinator responsible for needs assessment, assigning and tracking for completion of various CE requirements
• Analyze applicable information and resources to ensure Firm policies and procedures, as well as all applicable laws and regulations, are followed.
• Determine appropriate escalation to supervisory personnel for resolution
• Communicate policy changes and issues to affected departments and the field.
• Compose and issue compliance-related communications to the field
• Provide customer service and advice to OSJ Managers and advisors
• Communicate decisions to the field with finesse
• Manage the online personal trading system across all the broker dealers
• Respond to regulatory requests
• Other duties as assigned

What you need to have:

• 3+ years relevant experience in compliance
• Ability to interpret supervisory procedures and regulatory requirements
• Analytical skills and ability to research and resolve complex issues
• Series 7 required; Series 24 a plus, if no Series 24, that must be obtained within 3-6 months upon hire
• Effective written and oral communication skills with all levels within the organization
• Proficient in Microsoft Word, Access, and Excel

Really catch our eye with:

• The ability to work with many diverse assignments with minimal direction and attention to detail

Our top performers share the following traits:

• Top notch oral and written communication skills
• Keen eye for detail
• Strong analytical and organizational skills

What we give you in return:

Our competitive Health program offers a comprehensive benefits package that supports healthy lifestyles, preventative care and helps to protect against hardship. Our retirement plan offers our employees the opportunity to plan ahead for a strong financial future well beyond their working years.

About Cetera Financial Group

Cetera Financial Group® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is the second-largest independent financial advisor network in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions.

Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.

*"Cetera Financial Group" refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions, Cetera Financial Specialists and First Allied Securities.

Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at the Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.

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