Hybrid Associate Compliance Analyst- Broker Dealer bei Cetera Financial Group Inc
Cetera Financial Group Inc · El Segundo, Vereinigte Staaten Von Amerika · Hybrid
- Junior
- Optionales Büro in El Segundo
The Broker-Dealer (BD) Compliance team plays a critical role in ensuring that the firm’s policies, procedures, and regulatory obligations are consistently followed across all products, services, and business processes. We serve as both advisors and educators—guiding internal partners and field representatives through complex regulatory requirements while helping them achieve their goals in a compliant and practical manner.
This is a hybrid role, candidates must be located near one of these office hubs: El Segundo, CA | Des Moines, IA | St Cloud, MN | San Diego, CA | Dallas, TX.
What you will do:
- Administrative & Operational Support
- Provide administrative support to the BD Compliance team, including creating Salesforce cases, document handling, and project coordination.
- Provide support for tracking, reporting and follow-up needs of various compliance requirements
- Assist with special projects and provide general team support as needed.
- Compliance & Regulatory Oversight
Respond to inquiries from field and home office personnel to ensure compliance with firm policies and regulatory requirements.
- Address emails and phone calls coming into the Compliance inbox and Compliance hotline.
Review and process client accommodations, private securities transactions, and office sharing arrangements.
Serve as a liaison for security and vulnerable adult incidents, working closely with internal and field partners.
Monitor regulatory updates and assist in updating compliance manuals and procedures.
Perform 3120 and ad hoc testing on specific Compliance and firm functions.
Participate in onboarding reviews for individuals affiliating with the firm.
Provide occasional training and guidance to internal teams on compliance topics.
What you need to have:
- 1–3 years of operational experience within the financial industry (broker-dealer space)
- Active FINRA Series 7 and 24 licenses.
- High school diploma or equivalent.
- Strong organizational and multitasking skills.
- Excellent written and verbal communication abilities.
- Proficiency in Microsoft Office (Excel, Word, Outlook); Salesforce experience preferred.
What is nice to have:
- 1 year+ in Compliance in the Broker-Dealer space
- Familiarity with industry best practices and regulatory frameworks.
- Bachelor’s degree.
Compensation:
The base annual salary range for this role is $48,000 to $85,000, 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.
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Company
What we give you in return:
Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s 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.
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 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 Cetera’s 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.
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