Compliance Analyst – Broker Dealer

External Description Str : At Cetera we need detailed thinkers to help us deliver quality and value to our clients. As an experienced analyst, you know how to uncover trends and tell meaningful stories through data. You collect, organize, and interpret information with ease and understand the impact your insights have on our business. We are current seeking Compliance Analyst to add to our team. The Broker Dealer (BD) Compliance 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 BD, as well as the rules and regulations of our highly regulated industry. This will be a hybrid position working out of one of our offices, or Remote (work from home) position. What you will do: - Respond to and address inquiries from field and home office personnel to assure compliance with the applicable laws, regulations and firm policy and procedures - Address emails and phone calls coming into the Compliance Inbox and Compliance Hotline - Review and acknowledge requests for Private Securities Transactions - Liaison for Security and Vulnerable Adult Incidents with our field and internal partners - Review Office Sharing arrangements for the firm - Provide secondary review for regulatory responses - Identify and maintain risk areas for annual compliance training - Monitor and test firm policies and procedures based on risk levels to the firm - Review and analyze individuals seeking to affiliate with the firm - Input cases and documentation into respective firm approved tools. What you will have: - Bachelor’s degree or equivalent experience - 3-5 years relevant experience in compliance - Analytical skills, ability to research and resolve complex issues - Series 7 required - Series 24 will need to be obtained within 3 to 6 months upon hire Compensation: The base annual salary range for this role is $75,000 to $80,000, 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. #LI-Hybrid