Job Abstract

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 a Compliance Analyst- Advertising Review to add to our team

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.
• Review applicable laws and regulations for impact on new and existing policies and procedures, and recommend new policies and procedures
• Communicate policy changes and issues to affected business units, supervisors, and advisors
• Involved in one or more of the following activities to ensure compliance with Firm policy and all applicable laws and regulations:
• Perform surveillance reviews of advisors, transactions, and client accounts to identify exceptions and detect patterns or trends that may be of concern

What you need to 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 required

Compensation:

The salary range for this role is $70,000 - $80,000, plus competitive performance-based bonus. Compensation packages are based on a wide array of factors unique to each candidate, including but not limited to skill set, years and depth of experience, certifications, and specific office location. Compensation ranges may differ in differing locations due to cost of labor considerations.

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