Cetera Financial Group, Inc.
Cetera Financial Group, Inc.

Senior Compliance Analyst - Surveillance

Atlanta, GA, US • Posted 20 minutes ago • Updated 20 minutes ago
Full Time
On-site
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Job Details

Skills

  • Surveillance
  • Departmental Management
  • Trading
  • Regulatory Compliance
  • Supervision
  • Organizational Skills
  • Microsoft Excel
  • Analytical Skill
  • Research
  • Management
  • Finance
  • Mutual Funds
  • Annuities
  • Artificial Intelligence
  • Reporting

Summary

Job Description

Senior Surveillance analyst position work directly with the Surveillance Analyst team and report directly to department management. The role will include post-trade reviews on financial products to identify potential risks and violations of Broker Dealer policies. This role will also include the identification of trends and patterns of advisor's trading behavior to mitigate undo risk to the firm.

Duties and Responsibilities:

  • Complete monthly product reviews accurately and in a timely manner
  • Review advisor trades to detect violations of Broker-Dealer policies
  • Identify trends and patterns of advisor's trading behavior
  • Upload completed and final reviews to imaging system
  • Continue to gain industry and product knowledge by attending conferences and webinars
  • Assist in responding to inquiries from Compliance/Supervision
  • Assist with additional projects
  • Schedule and facilitate monthly BD calls with Compliance and Supervision
  • Maintain monthly BD call summary
  • Assist the team with organizing regulatory requests


Knowledge, Skills and Abilities:

  • Must be proficient in Excel.
  • Must have strong analytical and research skills.
  • Strong time management skills and able to meet deadlines.
  • Some knowledge of financial products such as but not limited to Mutual Funds, Stocks and Variable Annuities
  • Familiar with AI prompting for analysis and reporting
  • Ability to learn information and concepts quickly and work independently.
  • Series 7, 63 and be willing to obtain Series 24
Employers have access to artificial intelligence language tools (“AI”) that help generate and enhance job descriptions and AI may have been used to create this description. The position description has been reviewed for accuracy and Dice believes it to correctly reflect the job opportunity.
  • Dice Id: RTX1a6d2c
  • Position Id: 6930
  • Posted 20 minutes ago

Company Info

About Cetera Financial Group, Inc.

Advancing What's Next

Cetera Financial Group, Inc. is transforming how advisors guide individuals and families to achieve financial well-being at every stage of their lives.

We’re enablers. Mentors. Dream builders. Our purpose is to turn financial aspirations into reality. Within our community lies a vibrant wellspring of growth and opportunity for financial professionals, financial institutions, and individual investors alike. As a premier financial services firm, we don’t just deliver financial technology, bespoke guidance, research and market intelligence, and collaborative client-service platforms. We build environments where ideas thrive, connections flourish, and ambitions become remarkable achievements. Driven to deliver unwavering support and innovative solutions to help people live their purpose, we empower each other and the communities around us to bring a stronger tomorrow to life.

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