Compliance Analyst - Des Moines, United States - Cetera Financial Group

Cetera Financial Group Des Moines, United States

3 weeks ago

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. Cetera Financial Group is currently seeking a Compliance Analyst focused on Regulatory and Client Response.

This is a unique opportunity to support the network of Cetera Financial Group broker/dealers and registered investment advisers with regulatory and customer complaint matters.

This will be a hybrid position, working out of one of our offices in Des Moines, IA, Saint Paul, MN, Dallas, TX, Schaumburg, IL, Atlanta, GA and remote (work from home).

What you will do:

Receive, process, investigate, and respond to customer complaints and other allegations of potentially inappropriate activities by the Firm's associated Registered Representatives and Investment Advisor Representatives.
Correspond with various regulatory agencies to receive, process, investigate, and respond to regulatory inquiries. This may include the SEC, FINRA and/or state regulatory agencies.
Gather and analyze relevant data, inspect activity, and review documentation as necessary for the determination of resolutions to customer complaints and generation of responses to regulatory inquiries.
Research and analyze relevant regulation, information, and resources to ensure firm policies and procedures as well as all applicable laws and regulations are followed.
Recognize and communicate potential concerns and important issues to managers and team.
Provide customer service and advice to OSJ Managers, Regional Directors, Registered Representatives, and others as necessary.
Effectively communicate both verbally and in writing with all levels of the organization.

What you need to have:

FINRA Registrations Series 7 and Series 24
3+ years of financial services experience, preferably with an independent broker-dealer
Prior experience with Regulatory Research
Prior experience communicating with clients and writing client responses
Bachelor's degree

#LI-Hybrid

Compliance Analyst

3 weeks ago

Cetera Financial Group Des Moines, United States

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 i ...
Compliance Analyst

2 days ago

LCS Senior Living Des Moines, United States

The Compliance Analyst will assist Life Care Services LLC ("Life Care Services") and its business functions (e.g. Community Finance, Senior Living Marketing & Sales, Senior Living Management, Health Services Division, etc.), LCS Senior Leadership, LCS Development, LCS Real Estate ...
Compliance Analyst

5 days ago

LCS Des Moines, United States

Job Description · The Compliance Analyst will assist Life Care Services LLC ("Life Care Services") and its business functions (e.g. Community Finance, Senior Living Marketing & Sales, Senior Living Management, Health Services Division, etc.), LCS Senior Leadership, LCS Developme ...
Senior Compliance Analyst

3 weeks ago

The Principal Financial Group Des Moines, United States

As a Senior Compliance Analyst you will be providing compliance support for Principal Advised Services, an SEC-registered investment adviser, core regulated activities. This role will primarily be focused on performing the day-to-day tasks necessary Compliance Analyst, SEC, Compl ...
Senior Compliance Analyst

1 week ago

The Principal Financial Group Des Moines, United States

As a Senior Compliance Analyst you will be providing technology compliance support for Principal Advised Services, an SEC-registered investment adviser, and Principal Connection, a division of Principal Bank. Together, you will provide technology co Compliance Analyst, Technology ...
Senior Compliance Analyst

2 days ago

Principal Financial Group Des Moines, United States

What You'll Do · As a Senior Compliance Analyst you will be providing technology compliance support for Principal Advised Services, an SEC-registered investment adviser, and Principal Connection, a division of Principal Bank. Together, you will provide technology compliance supp ...
Senior Compliance Analyst

10 hours ago

Principal Financial Group Des Moines, United States

What You'll Do · As a Senior Compliance Analyst you will be providing technology compliance support for Principal Advised Services, an SEC-registered investment adviser, and Principal Connection, a division of Principal Bank. Together, you will provide technology compliance supp ...
Compliance Analyst

3 weeks ago

Community Choice Credit Union Des Moines, United States

The Compliance Analyst will play a pivotal role in monitoring, investigating, and reporting member activity that may violate federal laws, regulations, and internal policies. Key areas this role will focus on will be BSA (Bank Secrecy Act), AML (Anti Money Laundering), USA Patrio ...
Compliance Analyst

4 weeks ago

Cetera Financial Group Des Moines, United States

Job 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 understan ...
Compliance Analyst

3 weeks ago

Integrity Marketing Group Urbandale, United States

Job Summary · Our Broker Dealer, Brokers Financial, is looking for a Compliance Analyst. The person in this position will work closely with team members in the Compliance Department to modify, implement, and supervise the compliance procedures and the overall supervisory structur ...
Advertising Review Compliance Senior Analyst

4 days ago

EquiTrust Life Insurance West Des Moines, United States Full time

Job Details · Description · The Senior Compliance Analyst (Advertising Review) plays a crucial role in upholding the integrity and regulatory compliance of all advertising and marketing materials. This Sr. Compliance Analyst is responsible for ensuring and enabling the adherenc ...
Business Compliance Analyst

3 weeks ago

CVS Pharmacy Des Moines, United States

Applies basic knowledge of compliance, business, analytical, and communication skills to support compliance programs and processes that promote compliant and ethical behavior, meet regulatory obligations and prevent, detect, and mitigate compliance r Compliance Analyst, Business, ...
Senior Compliance Analyst

3 weeks ago

Principal Financial Services, Inc. Des Moines, United States

What You'll Do · As a Senior Compliance Analyst you will be providing compliance support for Principal Advised Services', an SEC-registered investment adviser, core regulated activities.This role will primarily be focused on performing the day-to-day tasks necessary for the admi ...
Senior Compliance Analyst

1 week ago

Principal Financial Group Des Moines, United States

What You'll Do · As a Senior Compliance Analyst you will be providing compliance support for Principal Advised Services', an SEC-registered investment adviser, core regulated activities. This role will primarily be focused on performing the day-to-day tasks necessary for the adm ...
Senior Compliance Analyst

3 weeks ago

Principal Financial Group Des Moines, United States

What You'll Do: · As a Senior Compliance Analyst you will be providing compliance support for Principal Advised Services, an SEC-registered investment adviser, core regulated activities. This role will primarily be focused on performing the day-to-day tasks necessary for the adm ...
Financial Compliance Analyst

3 weeks ago

Brokers International Urbandale, United States

Brokers International and our subsidiary organizations, Brokers Financial and Brokers International Mountain States work to empower financial professionals across the country with innovative solutions, support, technology, and marketing assistance so they can help more Americans ...
Compliance Analyst Sr

3 weeks ago

UnityPoint Health West Des Moines, United States

Overview: · We're seeking a Senior Compliance Analyst to join our team Supports the UPH Chief Compliance Officer, System Privacy Officer, and department directors with data analytics, database management, auditing, and investigations. Additionally, triages all Compliance Helplin ...
It compliance and risk analyst

2 weeks ago

Randstad Urbandale, United States

job summary: · Job Overview: We are seeking a skilled and experienced cross-functional Governance, Risk, and Compliance consultant that can work with IT Compliance and IT Risk on assessments, testing, reporting, and risk analysis within the Information Security Program. · Key Re ...
Regulatory Research and Client Response Compliance Analyst

1 week ago

Cetera Financial Group Des Moines, United States

Job 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 understan ...
Advertising Review Compliance Senior Analyst

2 weeks ago

EquiTrust West Des Moines, United States

The Senior Compliance Analyst (Advertising Review) plays a crucial role in upholding the integrity and regulatory compliance of all advertising and marketing materials. This Sr. Compliance Analyst is responsible for ensuring and enabling the adherence to advertising compliance po ...