Compliance Analyst CC

Cetera Financial Group in El Segundo, CA

  • Type: Full Time
position filled
Position Title: Compliance Analyst – Compliance Controls

What we need:

Cetera Financial Group is currently seeking a Compliance Analyst for our company’s office located in

El Segundo, California. This is a unique opportunity to be part of a growing area of our firm and directly support our amazing Representatives.

What you will do:

As a Compliance Analyst you will work on a team supporting the Compliance Controls department in making

and communicating decisions to the field of proposed business activities.

The ideal candidate will have experience in a deadline driven environment and

have the ability to make suggestions that may impact the company overall. This position is located at our corporate

headquarters in El Segundo, CA.

Your role will encompass the following duties:

Act as Continuing Education Coordinator responsible for needs

assessment, assigning and tracking for completion of various CE requirements
Analyze applicable information and resources to ensure Firm

policies and procedures, as well as all applicable laws and regulations, are

Determine appropriate escalation to supervisory personnel for

Communicate policy changes and issues to affected departments and

the field.
Compose and issue compliance-related communications to the field
Provide customer service and advice to OSJ Managers and advisors
Communicate decisions to the field with finesse
Manage the online personal trading system across all the broker

Respond to regulatory requests
Other duties as assigned

What you need to have

3 years relevant experience in financial services
Ability to interpret compliance/supervisory procedures and regulatory requirements
Analytical skills and ability to research and resolve complex

Series 7 required; 24 must be obtained within 3-6 months upon hire
Effective written and oral communication skills with all levels

within the organization
Proficient in Microsoft Word, Access, and Excel

Really catch our eye


The ability to work with many diverse assignments with minimal

direction and attention to detail
Current, active Series 24

Our top performers share

the following traits:

Top notch oral and written communication skills
Keen eye for detail
Strong analytical and organizational skills


we give you in return:


competitive Health program offers a comprehensive benefits package that

supports healthy lifestyles, preventative care and helps to protect against

hardship. Our retirement plan offers our employees the opportunity to plan

ahead for a strong financial future well beyond their working years.


Cetera Financial Group


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 the

second-largest independent financial advisor network 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.


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.


Financial Group" refers to the network of retail independent

broker-dealers encompassing, among others, Cetera

Advisors, Cetera

Advisor Networks, Cetera Financial Institutions, Cetera Financial Specialists and First

Allied Securities.

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.

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