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Cetera Financial Group · 12 hours ago

Compliance Analyst - Risk & Controls

St Cloud, MN

Full-time

Hybrid

Entry Level

$59K/yr - $103K/yr

1+ years exp

Cetera Financial Group is a leading network of independent retail broker-dealers. They are seeking a Compliance Analyst to ensure adherence to policies and procedures, guide internal partners, and assist with compliance-related inquiries.

AdviceFinancial ServicesRetailRetirementWealth Management

Responsibilities

Review and acknowledge Outside Business Activities (OBAs) submitted by registered field and home office personnel

Partner with the broker-dealer Compliance teams, as needed, to establish controls and/or conditions of an OBA

Respond to and address inquiries from field and home office personnel to assist and educate regarding firm policies and procedures as it relates to OBAs

Track submissions and documentation into respective firm approved tools

Submit and update OBA information for registered persons

Primary contacts / internal partners for this position are: Broker-Dealer Compliance and Supervision Teams

Qualification

BD Compliance experienceSeries 7Regulations knowledgeMS Office proficiencyWritten documentationProblem resolutionInterpersonal relationsThorough analysisCommunicationTeamwork

Required

HS Degree at minimum

1-3 years of BD Compliance experience

Series 7 and 24 required

Review and analyze OBAs from a practical, policy and regulatory framework

Provide accurate and thorough written documentation

Manage several tasks proactively

Work well independently as well as on a team

Manage workloads and help team as needed

Regulations and interpretive guidance

Industry Best Practices

Problem resolution

Thorough analysis

Excellent written and verbal communication

MS office including Excel, Word, and Outlook

Interpersonal relations

Preferred

Bachelor's degree preferable

Benefits

Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.

Easy access to mental health benefits to meet our team members and their families where they are.

20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.

401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.

Paid parental leave to support all team members with birth, adoption, and foster.

Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.

Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.