Compliance Analyst - Risk & Controls

Cetera Financial Group is a leading network of independent retail broker-dealers. They are seeking a Compliance Analyst to ensure adherence to policies and procedures, guide internal partners, and assist with compliance-related inquiries. Responsibilities Review and acknowledge Outside Business Activities (OBAs) submitted by registered field and home office personnel Partner with the broker-dealer Compliance teams, as needed, to establish controls and/or conditions of an OBA Respond to and address inquiries from field and home office personnel to assist and educate regarding firm policies and procedures as it relates to OBAs Track submissions and documentation into respective firm approved tools Submit and update OBA information for registered persons Primary contacts / internal partners for this position are: Broker-Dealer Compliance and Supervision Teams Skills HS Degree at minimum 1-3 years of BD Compliance experience Series 7 and 24 required Review and analyze OBAs from a practical, policy and regulatory framework Provide accurate and thorough written documentation Manage several tasks proactively Work well independently as well as on a team Manage workloads and help team as needed Regulations and interpretive guidance Industry Best Practices Problem resolution Thorough analysis Excellent written and verbal communication MS office including Excel, Word, and Outlook Interpersonal relations Bachelor's degree preferable Benefits Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship. Easy access to mental health benefits to meet our team members and their families where they are. 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities. 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years. Paid parental leave to support all team members with birth, adoption, and foster. Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more. Employee Assistance Program (EAP), LifeLock, Pet Insurance and more. Company Overview Cetera Financial Group is a privately-held, independent broker-dealer and investment adviser families. It was founded in 2010, and is headquartered in San Diego, California, USA, with a workforce of 1001-5000 employees. Its website is