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ebhu.fa.us2.oraclecloud.com/CX_1

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4 jobs
ebhu.fa.us2.oraclecloud.com/CX_1
5 days ago

Senior Compliance Analyst - Advertising Review

New RemoteNorth AmericaSenior
United States

Cetera Financial Group is currently seeking a Senior Compliance Analyst for Ad Review. This is a great opportunity to join our team and ensure that all retail communication complies with firm policy, FINRA, and SEC…
ebhu.fa.us2.oraclecloud.com/CX_1
6 days ago

Compliance Analyst - Advertising Review

New RemoteNorth America
United States

Description Cetera Financial Group is currently seeking a Compliance Analyst for Ad Review. This is a unique opportunity to join our team to ensure that all retail communication complies with state and federal laws,…
ebhu.fa.us2.oraclecloud.com/CX_1
2 months ago

Compliance Analyst - Branch Exams

RemoteNorth AmericaFull-time
United States

Compliance Analyst - Branch Exams The Compliance Analyst – Branch Exams conducts audits of broker‑dealer and advisory branch offices to assess compliance with FINRA, SEC, and applicable state regulatory requirements,…

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ebhu.fa.us2.oraclecloud.com/CX_1
4 months ago

Senior Compliance Analyst - Regulatory Exams

HybridNorth AmericaFull-timeSenior
United States

The Sr. Compliance Analyst (Regulatory Exams) is responsible for supporting the network of Cetera Financial Group’s broker/dealer and registered investment advisers throughout the examination process. The Regulatory…