Compliance Analyst - OBA

Cetera Financial Group; Saint Cloud (MN); On-site; USD 59,000 - 87,000; Full time

Benefits offered by this job

Health, dental, vision insurance

401(k) plan with company contribution

Paid parental leave

Employee Assistance Program (EAP)

Job summary

A financial services firm is seeking a Compliance Associate in Saint Cloud, MN. The role involves reviewing and managing Outside Business Activities (OBAs) for compliance with industry regulations, requiring 1-3 years of experience in BD compliance and licenses Series 7 and 24. The position offers a competitive salary of $59,000 to $87,000 annually, plus bonuses. The company provides inclusive health benefits, generous PTO, and a supportive environment for personal growth.

Qualifications

• 1-3 years of BD Compliance experience required.
• Series 7 and 24 licenses are mandatory.
• Ability to provide accurate, thorough documentation.

Responsibilities

• Review Outside Business Activities (OBAs) submitted by personnel.
• Collaborate with Compliance teams to establish controls for OBAs.
• Assist and educate on firm policies related to OBAs.

Skills

BD Compliance experience

Problem resolution

Interpersonal relations

MS Office (Excel, Word, Outlook)

Education

High School Diploma

Job description

1 day ago Be among the first 25 applicants

Cetera Financial Group provided pay range

This range is provided by Cetera Financial Group. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$59,000.00/yr - $87,000.00/yr

Direct message the job poster from Cetera Financial Group

The Risk Controls team is responsible for making sure that the Firm’s policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core function is to guide and advise our internal partners and field on the policies and procedures of the firm, as well as the rules and regulations of our highly regulated industry. We work in partnership to find solutions where possible to the challenges faced by our business partners and field force so that each can achieve their objectives in a compliant manner.

What you will do:

• Review and acknowledge Outside Business Activities (OBAs) submitted by registered field and home office personnel.
• Partner with the broker-dealer Compliance teams, as needed, to establish controls and/or conditions of an OBA
• Respond to and address inquiries from field and home office personnel to assist and educate regarding firm policies and procedures as it relates to OBAs.
• Track submissions and documentation into respective firm approved tools.
• Submit and update OBA information for registered persons.
• Primary contacts / internal partners for this position are: Broker-Dealer Compliance and Supervision Teams

What you need to have:

• HS Degree at minimum
• 1-3 years of BD Compliance experience
• Series 7 and 24 required.
• Review and analyze OBAs from a practical, policy and regulatory framework.
• Provide accurate and thorough written documentation.
• Manage several tasks proactively.
• Work well independently as well as on a team.
• Manage workloads and help team as needed
• Regulations and interpretive guidance
• Industry Best Practices
• Problem resolution
• Thorough analysis
• MS office including Excel, Word, and Outlook
• Interpersonal relations

Compensation:

The base annual salary range for this role is $59,000 to $87,000, 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.

About Us

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.

What we give you in return:

• Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan‑ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and foster.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.

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.

Seniority level

Associate

Employment type

Full‑time

Job function

Finance