Complex Product Suitability Analyst

Cetera Financial Group

Industry
Experience
Workhours

We are looking for a very dynamic candidate who will work in a team environment that allows for and encourages spontaneous collaboration. Embrace a dynamic environment where challenges will require flexibility and new ideas. Evidence solid judgement and decision-making skills to be properly empowered to address concerns that arise.

What you will do:

The following is an overview of the functions to be performed by the Principal within the Complex Products team. 

  • Timely review of surveillance and suitability determinations for alternative investments & potentially variable annuity purchases, equity-indexed annuities, & fixed annuities 1035 exchange/replacements services and activities conducted by persons under the firm’s supervision.
  • Approve responses to surveillance alerts by reviewing client information, account activity, documentation and client disclosure letters.
  • Complete new projects for the Complex Product Team as assigned.
  • Assist with the fulfillment of document requests during regulatory audits and other regulatory and legal inquiries.

What you need to have:

  • 2-5 years supervisory or compliance experience
  • Series 7, 24 and 63 securities licenses or equivalent required
  • Alternative or annuity investment knowledge required
  • Four-year college degree required
  • Superior written and verbal communication skills
  • Appreciation for proper grammar and punctuation
  • Must be able to work in a team environment and support other colleagues as needed. Cross training with other department employees within the team is required.
  • Must be able to prioritize and handle multiple tasks and deadlines simultaneously
  • Team player who possesses great initiative, flexibility, excellent judgment and knows how to provide indispensable service
  • Exceptional ability to follow instructions with minimal supervision
  • Strong command of all Microsoft Office applications

Our top performers share the following traits:

  • Professional decorum
  • Drive enterprise value
  • Deepening relationships with peers and team members

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. 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.

About Cetera Financial Group®

Cetera Financial Group® ("Cetera") is a leading financial advice firm. It empowers the delivery of an Advice-Centric Experience® to individuals, families and businesses across the country through independent financial advisors as well as trusted tax professionals and banks and credit unions. It’s headquartered at 200 N. Pacific Coast Highway, Suite 1200 El Segundo, CA 90245.

Comprehensive services include: wealth management solutions, retirement plan solutions, advisory services, practice management support, innovative technology, marketing guidance, regulatory support, and market research. 

"Cetera Financial Group" refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Advisor Networks LLC, Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors), Cetera Financial Specialists LLC, and First Allied Securities, Inc. All firms are members FINRA / SIPC.

Individuals affiliated with Cetera firms are either Registered Representatives who offer only brokerage services and receive transaction-based compensation (commissions), Investment Adviser Representatives who offer only investment advisory services and receive fees based on assets, or both Registered Representatives and Investment Adviser Representatives, who can offer both types of 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. 

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.

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Confirmed 14 hours ago. Posted 30+ days ago.

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