Cetera Financial Group
Advisory Compliance Analyst
Cetera Financial Group, El Segundo, California, United States, 90245
1 day ago Be among the first 25 applicants
Cetera Financial Group provided pay range
This range is provided by Cetera Financial Group. Your actual pay will be based on your skills and experience talk with your recruiter to learn more. Base pay range
$59,000.00/yr - $80,000.00/yr Direct message the job poster from Cetera Financial Group Cetera Financial Group is currently seeking an Advisory Compliance Analyst to sit within a team and be a part of a growing area of our firm and directly focused on the advisory side of our business. This is a unique opportunity to work with various members of the organization internally, as well as our field advisors. What you will do: Perform surveillance reviews of advisors, transactions, and client accounts to identify exceptions and detect patterns or trends that may be of concern 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 Determine appropriate escalation to supervisory personnel for resolution Compose and issue compliance-related communications Take active part in the review, monitoring, testing and verification of Firm policies and procedures Assist with regulatory requests Collaborate and provide guidance to Designated Supervisors, Advisors, and members of the firm Other duties as assigned What you need to have: 1-3 years of relevant experience in compliance and/or supervision Ability to interpret supervisory procedures and regulatory requirements Analytical skills, ability to research and resolve complex issues Effective written and oral communication skills with all levels within the organization Proficient in Microsoft Excel, Word, and Access Series 7, 24, 63, or 66 required (or ability to obtain within 3 to 6 months upon hire) The ability to work with many diverse assignments with minimal direction and attention to detail Top-notch oral and written communication skills Strong analytical and organizational skills Compensation: The base annual salary range for this role is $59,000 to $78,540, 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. About Us What we give you in return: Not many teams can say that they support peoples dreams coming to life We happen to do that every day. And as important as we know your career is, we recognize that theres a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including: 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. 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 an independent financial advisor network and 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,and Cetera Financial Specialists. 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. Agencies please note
: this recruitment assignment is being managed directly by Ceteras Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection. Seniority level
Seniority level
Associate Employment type
Employment type
Full-time Job function
Job function
Finance Referrals increase your chances of interviewing at Cetera Financial Group by 2x Inferred from the description for this job
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This range is provided by Cetera Financial Group. Your actual pay will be based on your skills and experience talk with your recruiter to learn more. Base pay range
$59,000.00/yr - $80,000.00/yr Direct message the job poster from Cetera Financial Group Cetera Financial Group is currently seeking an Advisory Compliance Analyst to sit within a team and be a part of a growing area of our firm and directly focused on the advisory side of our business. This is a unique opportunity to work with various members of the organization internally, as well as our field advisors. What you will do: Perform surveillance reviews of advisors, transactions, and client accounts to identify exceptions and detect patterns or trends that may be of concern 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 Determine appropriate escalation to supervisory personnel for resolution Compose and issue compliance-related communications Take active part in the review, monitoring, testing and verification of Firm policies and procedures Assist with regulatory requests Collaborate and provide guidance to Designated Supervisors, Advisors, and members of the firm Other duties as assigned What you need to have: 1-3 years of relevant experience in compliance and/or supervision Ability to interpret supervisory procedures and regulatory requirements Analytical skills, ability to research and resolve complex issues Effective written and oral communication skills with all levels within the organization Proficient in Microsoft Excel, Word, and Access Series 7, 24, 63, or 66 required (or ability to obtain within 3 to 6 months upon hire) The ability to work with many diverse assignments with minimal direction and attention to detail Top-notch oral and written communication skills Strong analytical and organizational skills Compensation: The base annual salary range for this role is $59,000 to $78,540, 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. About Us What we give you in return: Not many teams can say that they support peoples dreams coming to life We happen to do that every day. And as important as we know your career is, we recognize that theres a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including: 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. 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 an independent financial advisor network and 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,and Cetera Financial Specialists. 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. Agencies please note
: this recruitment assignment is being managed directly by Ceteras Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection. Seniority level
Seniority level
Associate Employment type
Employment type
Full-time Job function
Job function
Finance Referrals increase your chances of interviewing at Cetera Financial Group by 2x Inferred from the description for this job
Medical insurance Vision insurance 401(k) Paid paternity leave Paid maternity leave Disability insurance Los Angeles, CA $121,600.00-$228,633.00 3 weeks ago Compliance Operations Specialist, Services (Contract)
Third Party Governance, Risk and Compliance (GRC) Analyst
Los Angeles Metropolitan Area $65,000.00-$80,000.00 21 hours ago Los Angeles, CA $84,150.00-$123,000.00 12 hours ago Los Angeles, CA $133,000.00-$235,000.00 2 weeks ago Los Angeles, CA $162,134.00-$303,240.00 2 weeks ago Domain Assurance Specialist, Functional Compliance, Risk, Compliance, Integrity
Compliance Manager - Global Integrity & Compliance
Lakewood, CA $150,000.00-$210,000.00 3 hours ago Santa Monica, CA $80,000.00-$90,000.00 6 days ago Commerce, CA $68,640.00-$85,800.00 2 weeks ago Program Quality & Compliance Specialist I
Chief Compliance Officer - Private Equity (Global role)
Los Angeles Metropolitan Area 9 hours ago Lakewood, CA $130,266.00-$210,877.00 5 months ago CMS Regulatory Compliance Analyst (Medicare part D)
Pasadena, CA $70,000.00-$75,000.00 3 weeks ago Were unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr