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Compliance Analyst Surveillance

Expired Job

Cetera Financial Group Atlanta , GA 30301

Posted 3 months ago

Position Title: Compliance Surveillance Analyst, Cetera Financial Group

What we need:

Cetera Advisors Network is currently seeking a Compliance Surveillance Analyst for our company's office located in Atlanta, GA. This is a unique opportunity to be part of a growing area of our firm and directly support our amazing Advisors.

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.

  • Communicate changes and important issues to affected business units, field and customers. Recommend new policies and procedures.

  • Involved in one or more of the following activities to ensure compliance with Firm policy and all applicable laws and regulations:

  • Perform surveillance of transactions, advisors and accounts to detect trends and patterns of transaction activity that may be of concern.

  • Determine appropriate escalation to supervisory personnel for resolution

  • Monitor and detect variances in policy and regulations through review of systems and reports.

  • Review applicable laws and regulations for impact on new and existing policies and procedures.

  • Communicate policy changes and issues to affected departments, field and customers

  • Take active part in the review, monitoring, testing and verification of Firm policies and procedures

  • Provide customer service and advice to supervisory personnel

  • Other duties as assigned

What you need to have:

  • Bachelor's degree or equivalent experience

  • 3-5 years relevant experience in compliance

  • Expert knowledge of Excel, specifically with the use of Pivot tables, slicers and Macros is helpful.

  • Ability to interpret supervisory procedures and regulatory requirements

  • Analytical skills and ability to research and resolve complex issues

  • Series 7 required

  • Series 24 will be need to be obtained within 3 to 6 months upon hire

  • Effective written and oral communication skills with all levels within the organization

  • Proficient in Microsoft Word, Access, and Powerpoint

Really catch our eye with:

  • The ability to work with many diverse assignments with minimal direction and attention to detail

Our top performers share the following traits:

  • Top notch oral and written communication skills

  • Keen eye for detail

  • Strong analytical and organizational skills

What we give you in return:

Our competitive Health program offers a comprehensive benefits package that supports healthy lifestyles, preventative care and helps to protect against hardship. Our retirement plan offers our employees the opportunity to plan ahead for a strong financial future well beyond their working years.

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 the second-largest independent financial advisor network in the nation by number of advisors, as well as 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, First Allied Securities, and Summit Brokerage Services.

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.

Please Note: Cetera does not accept unsolicited Agency resumes. Anyunsolicited resumes received from Agencies will be considered property ofCetera unless specifically requested by Human Resources. Unsolicitedresumes will be ineligible for referral fees.


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Compliance Analyst Surveillance

Expired Job

Cetera Financial Group