Compliance Analyst - El Segundo, United States - Cetera Financial Group

Cetera Financial Group

Verified Company

El Segundo, United States

4 weeks ago

Posted by:

Mark Lane

beBee recruiter

Description

At Cetera, we need detailed thinkers to help us deliver quality and value to our clients. As an experienced analyst, you know how to uncover trends and tell meaningful stories through data. You collect, organize, and interpret information with ease and understand the impact your insights have on our business. We are currently seeking a Compliance Analyst

Advertising Review to add to our team

What you will do:

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
Involved in one or more of the following activities to ensure compliance with Firm policy and all applicable laws and regulations:
Perform surveillance reviews of advisors, transactions, and client accounts to identify exceptions and detect patterns or trends that may be of concern

What you need to have:

Bachelor's degree or equivalent experience
35 years relevant experience in compliance
Analytical skills, ability to research and resolve complex issues
Series 7 required Series 24 required

Compensation:

LI-Remote

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.

And as important as we know your career is, we recognize that there's a whole lot more to life.

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+ days of paid time off (PTO), paid holidays, and 2 days of paid volunteer time off (VTO) to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities
401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to planahead for a strong financial future well beyond their working years
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), LifeLock, Pet Insurance and more

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 an independent financial advisor network and 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. _

_Agencies please note __:
this recruitment assignment is being managed directly by Cetera's Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. _

Please revi