Enjoy direct access to our head of supervision, chief compliance officer, and chief risk officer for support and to understand the “why” behind our practices.
Our timely communications keep you up-to-date on policy changes and provide practical guidance for any hurdles you may face.
Leverage leading-edge tech tools, like Pinpoint Global, to simplify tasks and manage compliance demands.
“The compliance platform is wonderful with real-time data input, reminders, and a dashboard that helps me stay on top of supervision guidelines and tasks.”
Tony Yu
East West Bank
“The support of Cetera's Compliance team is a prime example of the reasons I've turned down numerous recruiters. They make our organization feel like a family.”
J. Todd Watkins
Philanthropy Financial
“Cetera has provided me and my clients with the highest level of support I've enjoyed since I entered the profession in 1983.”
Roger Turcotte
Cetera Investors
