What are the responsibilities and job description for the Surveillance and Risk Management Professional position at Cetera Financial Group?
Cetera Financial Group 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.
Our team is dedicated to helping our clients achieve their financial goals by providing them with the tools and resources they need to make informed decisions. We are committed to building long-term relationships with our clients and partners based on trust, integrity, and expertise.
Key responsibilities of this role include:
- Working directly with the Senior Analyst team leader to identify potential risks and violations of broker-dealer policies.
- Completing monthly product reviews accurately and in a timely manner.
- Reviewing advisor trades to detect violations of Broker-Dealer policies.
- Identifying trends and patterns of the advisor's trading behavior.
About Us
We are an equal opportunity employer and welcome applications from all qualified candidates. Our team is comprised of experienced professionals who are passionate about their work and dedicated to delivering results.
We offer a competitive salary and benefits package, including:
- Health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
- Mental health benefits to meet our team members and their families where they are.
- 20 days of paid time off (PTO), paid holidays, 1 paid wellness day and 1 day of paid volunteer time off (VTO).
- 401(k) Savings plan with a generous company contribution (up to 5%).
- Paid parental leave.
- Health Savings and Flexible Spending Account options.
