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Manager, Complaints & Regulatory Inquiries
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- Cetera Financial Group is currently seeking a Compliance Manager to lead a team focused on Regulatory and Client Response.
- This is a hybrid role, candidates must be near an office location: Dallas, TX | Des Moines, IA | St Cloud, MN | St Paul, MN | Schaumburg, IL | Atlanta, GA.
- Lead a team that receives, processes, investigates, and responds to customer complaints and other allegations of potentially inappropriate activities by the Firm's associated Registered Representatives and Investment Advisor Representatives.
- 5+ years of securities litigation experience or 7+ years of financial services experience, preferably with an independent broker-dealer.
- FINRA Registrations Series 7 and Series 24 or Juris Doctorate and securities litigation experience.
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