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Schaumburg

    Compliance Analyst Broker Dealer - Schaumburg, United States - Cetera

    Cetera
    Cetera Schaumburg, United States

    4 weeks ago

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    Description
  • 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 current seeking Compliance Analyst to add to our team.
  • The Broker Dealer (BD) Compliance team is responsible for making sure that the Firm's policies and procedures are followed regarding the products, processes, procedures, and services offered.
  • Our core function is to guide and advise our internal partners and field on the policies and procedures of the BD, as well as the rules and regulations of our highly regulated industry.
  • This will be a hybrid position working out of one of our offices, or Remote (work from home) position.
  • What you will have: Bachelor's degree or equivalent experience 3-5 years relevant experience in compliance Analytical skills, ability to research and resolve complex issues Series 7 required Series 24 will need to be obtained within 3 to 6 months upon hire Compensation: The base annual salary range for this role is $75,000 to $80,000, plus a competitive performance-based bonus.
  • Base annual salary may also differ significantly due to geography and cost of labor considerations.
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