Compliance Analyst - OBA

Overview

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 $66,000 to $95,000, 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.

The Cetera Financial Group 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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