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. We are currently seeking.

The Senior Examiner conduct audits of branch offices to determine compliance with FINRA, SEC and State regulatory requirements, as well as firm policies and procedures.

The Senior Examiner is pivotal to creating a partnership between the audit team and the leadership teams of each broker-dealer, home office and field supervisors, and the financial professionals in the field.

This role will be based Remotely - work from home.

What you will do:

Conduct exams of securities brokerage and advisory branch offices (up to 50% domestic travel)
Investigate potential audit exceptions
Conduct opening and closing interviews/meetings with branch personnel
Prepare reports
Collaborate with the team members and Audit Managers to streamline processes and create efficiencies for the department

What you will have:

Ability to Travel up to 50% - 60%
Series 7, 24 and 66 (or 63 and 65) exams/licenses
Minimum of five (2) years of related experience in auditing, examining, broker-dealer operations and/or securities/advisory compliance
Ability to work in a self-directed environment working remotely from your primary residence
Strong written and verbal communication skills
PC skills must include familiarity with MS Office, including proficiency in MS Word, Excel, Teams and Outlook.

Compensation:
The base annual salary range for this role is $75,000 to $90,000, 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.

#LI-Remote

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