Senior Compliance Analyst - Regulatory Exams

About the Role

This hybrid role, based in Dallas, Texas, supports Cetera Financial Group’s broker/dealer and registered investment advisers throughout the regulatory examination process. The Sr. Compliance Analyst coordinates all aspects of firm and branch-level examinations by state, federal, and industry regulators such as FINRA, monitors and tracks findings through remediation and closure, and serves as the primary liaison with regulators. The role ensures firm programs and policies are articulated in a positive and credible manner to regulators.

Responsibilities

• Develop and maintain positive and productive working partnerships with stakeholders and regulatory personnel.
• Partner with firm-level Compliance, Supervision, and business line management teams to guide remediation plans for examination findings and draft formal written responses to examination reports.
• Complete the collection, analysis, and delivery of data, documents, and other information to regulators, including critically assessing the nature of requests to identify underlying purposes and potential risks.
• Maintain awareness of regulatory activities and industry developments to identify trends and emerging issues that may impact Cetera’s business.
• Other duties as assigned.

Requirements

• Broad and extensive working knowledge of FINRA, SEC, and/or MSRB regulations and their applicability to differing circumstances.
• Effective communication skills with polished and persuasive speaking and writing abilities.
• A flexible and adaptable mindset with the ability to rapidly digest and process information while shifting between different subject matters.
• Microsoft Excel proficiency.
• 3+ years of experience working in broker/dealer or investment adviser compliance and/or regulatory affairs, with progressively increasing responsibilities.
• Series 7 & 24 Registrations.

Preferred Qualifications

• Prior work as a regulator.
• Bachelor's degree in finance or a related field or equivalent.
• Project management skills.
• Series 65/66.

Travel

Up to 25% travel required.

Pay

The base salary range for this role in Dallas, TX is $82,000 to $117,000, plus a competitive performance-based bonus. Base salary depends on factors including skill set, years and depth of experience, certifications, and location.

Benefits

• Inclusive health, dental, vision, and life insurance plans supporting diverse lifestyles, preventative care, and financial hardship protection.
• Mental health benefits for employees and their families.
• 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days.
• 401(k) savings plan with a generous company contribution (up to 5%) and access to a financial professional.
• Paid parental leave for birth, adoption, and fostering.
• Health Savings and Flexible Spending Account options for healthcare, daycare, and commuting expenses.
• Employee Assistance Program (EAP), LifeLock, pet insurance, and other voluntary benefits.
• Paid caregiver leave for caring for an ill or recovering family member.

About Us

Cetera Financial Group® is a leading network of independent retail broker-dealers and registered investment advisers empowering the delivery of objective financial advice to individuals, families, and company retirement plans. Cetera is one of the largest independent financial advisor networks in the nation and a leading provider of retail services to the investment programs of banks and credit unions. Advisor support resources include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology.