Compliance Analyst - Risk & Controls

Title: Compliance Analyst - Risk & Controls

Location: Dallas United States

Job Description:

As a component of the overall Cetera Financial Group (CFG) risk management framework, the Enterprise Risk Management (ERM) unit maintains an inventory of risks and risk controls housed within a third-party system, Archer. ERM administers control testing campaigns across the entirety of CFG which are designed to aid Cetera in the execution of a robust Risk program, which includes the underlying testing forming the basis of the regulatorily mandated reports such as 3120 for Broker Dealers and 206(4)-7 for Registered Investment Advisers.

Through the regular testing of Cetera's controls as prioritized based upon risk, Cetera is able to verify the effectiveness of its key control processes and as applicable identify matters warranting refinements. ERM also monitors for matters impacting the regulatory front for topics of interest which may have risk implications as well as receives input and guidance from Cetera's Risk leadership.

This role reports to the Director, Enterprise Risk Management. Responsibilities include assembly, processing and analysis of data. A strong foundation in the securities industry is important for the analyst to correlate data observations to key industry considerations, aiding the firm in efforts to identify, catalog and develop controls to mitigate risks. Proficiency using Cetera's systems is important. This role also includes helping to identify trends and patterns within Cetera's risk control testing practices and requires the ability to work effectively on multiple concurrent assignments with minimal direction while applying strong attention to detail. Analysts must be able to work independently as well as collaboratively in a remote setting.

What you will do:

• Accurate and timely assembly of data for use in control reviews

• Analyze data, in particular, relative to firm policies and/or procedures

• Identify and address deficiencies

• Prepare for and participate in the execution of control testing campaigns

• Respond to inquiries from Cetera personnel with regard to controls and testing

• Effectively perform risk control tests and related processes

• Recommend new and/or refinements to policies and procedures

• Contribute to the ongoing improvement of the unit

• Continue to attain industry and product knowledge

• Other duties as assigned

What you need to have:

• Must be proficient in Excel

• Must have strong analytical and research skills

• Possess knowledge of investment products and regulations

• Adaptable, with the ability to learn quickly and work cooperatively in a team environment while balancing individual responsibilities

• Prioritization towards the achievement of deadlines

• Communicate openly with leadership regarding statuses, observations and needs

• Series 7, and 63

Compensation:

The base annual salary range for this role is $59,000 to $103,000, 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