Compliance Analyst, Finance & Banking

Overview

The Risk Controls team is responsible for ensuring the Firm’s policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core function is to guide and advise internal partners and field on the policies and procedures of the firm, as well as the rules and regulations of our highly regulated industry. We work in partnership to find solutions to challenges faced by our business partners and field force so that each can achieve their objectives in a compliant manner.

This is a 2-3 days a week role in one of the office locations listed:
Dallas, TX or Des Moines, IA or St Cloud, MN or El Segundo, CA.

• Review and acknowledge Outside Business Activities (OBAs) submitted by registered field and home office personnel.
• Partner with the broker-dealer Compliance teams, as needed, to establish controls and/or conditions of an OBA.
• Respond to and address inquiries from field and home office personnel to assist and educate regarding firm policies and procedures as they relate to OBAs.
• Track submissions and documentation into respective firm approved tools.
• Submit and update OBA information for registered persons.
• Primary contacts / internal partners for this position are:
  Broker-Dealer Compliance and Supervision Teams.

• HS Degree at minimum
• Bachelor’s degree preferable
• 1-3 years of BD Compliance experience
• Series 7 and 24 required
• Review and analyze OBAs from a practical, policy and regulatory framework
• Provide accurate and thorough written documentation
• Manage several tasks proactively
• Work well independently as well as on a team
• Manage workloads and help team as needed
• Regulations and interpretive guidance
• Industry Best Practices
• Problem resolution
• Thorough analysis
• Excellent written and verbal communication
• MS Office including Excel, Word, and Outlook
• Interpersonal relations

The base annual salary range for this role is $59,000 to $103,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.

What We Give You In Return

Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:

• 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.
• 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional.
• 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), Life Lock, Pet Insurance and more.

About Cetera Financial Group

Cetera Financial Group 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 one of the largest independent financial advisor networks 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 wealth management and advisory platforms, broker-dealer and…