Regulatory Compliance Specialist

Position Title: Compliance/Supervision Specialist

What we need:

Cetera Financial Group is currently seeking a Compliance/Supervision Specialist for our Cetera Financial Institutions in St Cloud, Denver, or Schaumburg. This is a unique opportunity to help advisors by making them aware of sale practice issues from a supervision perspective.

What you will do:

• Directly oversees assigned representatives by reviewing and approving customer new accounts, daily transactions, correspondence review and on-going activity.

• Conduct customer account reviews to detect potential sales abuses.

• Discuss compliance concerns or potential violations with representatives.

• Work with the Compliance Department as needed to address regulatory concerns.

• Provide education and training to Representatives concerning regulatory, corporate and legal requirements, general product offerings, licensing issues as well as internal processes & procedures.

• 15% travel to conduct Branch Office Inspections

• Other duties as assigned, including other supervisory and/or operations functions

What you need to have:

• 3+ year of compliance or relevant securities experience

• 3+ year of experience and a strong understanding of securities products including stocks, bonds, options, variable annuities, limited partnerships, REITS and mutual funds

• FINRA Series 7, 24 and 63 required; must acquire Series 53 within 90 days and Series 65/66 within 1 year.

Our top performers share the following traits:

• Work well individually and with a team

• Great customer service skills

What we give you in return:

Our 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.

About Cetera Financial Group

Cetera 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.

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, Cetera Financial Specialists, First Allied Securities, and Summit Brokerage Services.

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.

Job Type: Full-time

Pay: From $63,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Life insurance
• Paid time off
• Vision insurance

Schedule:

• 8 hour shift

Supplemental Pay:

• Bonus pay

Education:

• Bachelor's (Preferred)

Experience:

• Microsoft Office: 1 year (Preferred)

License/Certification:

• Series 7 (Preferred)
• Series 24 (Preferred)
• Series 63 (Preferred)

Work Location:

• One location

Company's website:

• www.cetera.com

Work Remotely:

• Temporarily due to COVID-19

COVID-19 Precaution(s):

• Remote interview process
• Social distancing guidelines in place
• Virtual meetings
• Sanitizing, disinfecting, or cleaning procedures in place