OBA Compliance Analyst: Policy, Risk & Reg Guidance

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

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.