TRADE COMPLIANCE ANALYST
Company: Cetera Financial Group
Location: San Diego
Posted on: October 1, 2024
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Job Description:
The surveillance analyst position works directly with the Senior
Analyst team leader. 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 the advisor's trading
behavior to mitigate undue risk to the firm.
What you will do:
What you need to have:
Compensation:The base annual salary range for this role is $60,000
to $70,000, 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.
What we give you in return:Not many teams can say that they support
people's dreams coming to life--- We happen to do that every day.
And as important as we know your career is, we recognize that
there's a whole lot more to life. To ensure that our Employees can
make the most of their time outside of working hours, we offer a
competitive salary and for full-time roles, a benefits package
including:
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. Cetera is an independent
financial advisor network and a leading provider of retail services
to the investment programs of banks and credit unions.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, 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.
Agencies please note: this recruitment assignment is being managed
directly by Cetera's Talent Acquisition team. We will reach out to
our preferred agency partners in the rare instance we require
additional talent options. Your respect for this process is
appreciated.Please review our Workforce Privacy Policy for further
details on what information we collect and the purposes for
collection.
Keywords: Cetera Financial Group, Malibu , TRADE COMPLIANCE ANALYST, Professions , San Diego, California
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