- 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.
- 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
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Compliance Analyst - Des Moines, United States - Cetera Financial Group
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:
What you need to have:
