Compliance Analyst - Branch Exams

The Compliance Analyst Examiner will conduct audits of branch offices to determine compliance with FINRA, SEC, and State regulatory requirements, as well as firm policies and procedures.  The Examiner is pivotal to creating a partnership between the audit team and the leadership teams of each broker-dealer, home office and field supervisors, and the financial professionals in the field.  This role reports directly to an Audit Manager. This is a fully remote position, and candidates must be willing to travel for work (see more details below). 

What You Will Do

• Conduct exams of securities brokerage and advisory branch offices (up to 50% domestic travel)
• Investigate potential audit exceptions
• Conduct opening and closing interviews/meetings with branch personnel
• Prepare reports
• Collaborate with the team members and Audit Managers to streamline processes and create efficiencies for the department

What You Must Have

• Series 7, 24, and 66 (or 63 and 65) exams/licenses
• Minimum of 5 years of related experience in auditing/examining, broker-dealer operations and/or securities/advisory compliance
• Ability to work in a self-directed environment working remotely from your primary residence
• Strong written and verbal communication skills 
• PC skills must include familiarity with MS Office, including proficiency in MS Word, Excel, Teams and Outlook.

Our Top Candidates

• Series 63/65 or Series 66 
• Bachelor’s or Associates Degree (Business, Finance, Accounting or Economics preferred)
• Minimum of 5 years of experience in the financial services industry or a related field
• Previous experience with working remotely and traveling frequently for business

Compensation

The base annual salary range for this role is $64,000 to $94,000, 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.

About Us

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 plus 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 one of the largest independent financial advisor networks 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 independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Wealth Services LLC (f/k/a Cetera Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. All firms are members FINRA/SIPC.

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 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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