Compliance Analyst Compliance Analyst …

Cetera Financial Group
in El Segundo, CA, United States
Permanent, Full time
Be the first to apply
Cetera Financial Group
in El Segundo, CA, United States
Permanent, Full time
Be the first to apply
Compliance Analyst
Compliance Analyst - BD Position: Compliance Analyst- BD

Cetera Financial Groupis currently seeking a Compliance Analyst for our Cetera Advisor Networks firmlocated in El Segundo, California.  This is a unique opportunity to joinour team and play a pivotal partnership role to our regulators, home office andfield personnel.

What you will do:
  • Analyze and review prospective affiliated persons
  • Monitor and test firm policies and procedures for all product types and business based on risk levels to the firm
  • Provide accurate compliance assistance to field and home office personnel
  • Perform testing of key business lines to ensure compliance with policies and procedures
  • Review and acknowledge requests for Private SecuritiesTransactions
  • Liaison for Security Incidents and Vulnerable Adult Incidents withour field and internal partners
  • Respond to and address inquiries from various units to assurecompliance with the applicable laws, regulations and firm policy and procedures
  • Keep abreast of new products, technologies and their applicationsand compliance implications.
  • Develop presentations and training on compliance topics andpresent as needed

What you need to have:
  • Bachelors degree or equivalent experience
  • 1+ year of Broker-Dealer compliance experience
  • Series 7 and 24
  • Ability to multi-task while staying on track with regulatory deadlines, field inquiries, and internal assignments.

Really catch our eyewith: 

  • Series 4 and/or 53
  • Excellent written and verbal communication
  • Demonstrated experiencedelivering regulatory and interpretive guidance
  • Demonstrated experience delivering problem resolution and diligent follow-up skills
  • MS office includingexcel, word and access database

Our top performers sharethe following traits:

  • Flexible and adaptable to change
  • Superior listening skills
  • Positive role model to colleagues
  • Highly responsive to coaching and training
  • Ability to work independently and resolve complex issues with minimal guidance
  • Ability to learn quickly and multi-task effectively in a fast-paced environment
  • Team player attitude
  • Energetic and results-oriented

What we give you inreturn:

Cetera Financial Groupis a fast-growing company that is in the midst of tremendous change.  Ourjean friendly culture is one that expects all the highest quality customerservice that will turn our clients into raving fans.

Our competitive Healthprogram offers a comprehensive benefits package that supports healthylifestyles, preventative care and helps to protect against hardship. Ourretirement plan offers our employees the opportunity to plan ahead for a strongfinancial future well beyond their working years. 

About Cetera FinancialGroup

Cetera Financial Group("Cetera") is a leading network of independent firms empowering thedelivery of professional financial advice to individuals, families and companyretirement plans across the country through trusted financial advisors andfinancial institutions. Cetera is the second-largest independent financialadvisor network in the nation by number of advisors, as well as a leadingprovider of retail services to the investment programs of banks and creditunions.

Through its multipledistinct firms, Cetera offers independent and institutions-based advisors thebenefits of a large, established broker-dealer and registered investmentadviser, while serving advisors and institutions in a way that is customized totheir needs and aspirations. Advisor support resources offered through Ceterainclude award-winning wealth management and advisory platforms, comprehensive broker-dealerand registered investment adviser services, practice management support andinnovative technology. For more information, visit .

Cetera Financial Group is committed toproviding an equal employment opportunity for all applicants and employees. Forus, this is the only acceptable way to do business. Accordingly, all employmentdecisions at the Cetera Financial Group, including those relating to hiring,promotion, transfers, benefits, compensation, and placement, will be madewithout regard to race, color, ancestry, national origin, citizenship, age,physical and/or mental disability, medical condition, pregnancy, geneticcharacteristics, religion, religious dress and/or grooming, gender, genderidentity, gender expression, sexual orientation, marital status, U.S. militarystatus, political affiliation, or any other class protected by state and/orfederal law.

Agencies please note:this recruitment assignment is being managed directly by Ceteras TalentAcquisition team. We will reach out to our preferred agency partners in therare instance we require additional talent options. Your respect for thisprocess is appreciated.

Primary Location: US-CA-El Segundo
Work Locations:
Job: Risk Management
Organization: Cetera Financial Group
Schedule: Full-time
Job Posting: Nov 5, 2019, 5:13:17 PM