Compliance Analyst - Advisory

About the position

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. This is a hybrid role, 2-3 days weekly in office. Candidates must be located in Dallas, TX.

Responsibilities
• 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

Requirements
• 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
• Keen eye for detail
• Strong analytical and organizational skills