Compliance Analyst - OBA

1 day ago Be among the first 25 applicants

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.

$59,000.00/yr - $87,000.00/yr

Direct message the job poster from Cetera Financial Group

The Risk Controls team is responsible for making sure that the Firm’s policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core function is to guide and advise our internal partners and field on the policies and procedures of the firm, as well as the rules and regulations of our highly regulated industry. We work in partnership to find solutions where possible to the challenges faced by our business partners and field force so that each can achieve their objectives in a compliant manner.

• 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

• 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
• MS office including Excel, Word, and Outlook
• Interpersonal relations

The base annual salary range for this role is $59,000 to $87,000, 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.

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.

• 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), Life Lock, Pet Insurance and more.

Cetera Financial Group is committed to providing an equal employment opportunity for…