Senior Compliance Analyst - Regulatory Exams

The Sr. Compliance Analyst (Regulatory Exams) is responsible for supporting the network of Cetera Financial Group’s broker/dealer and registered investment advisers throughout the examination process.  The Regulatory Exam Manager is responsible for coordinating all aspects of firm and branch level examinations by state or federal agencies, as well as industry regulators such as FINRA. They monitor and track findings through remediation and closure and serve as the primary liaison with regulators. By advising on regulatory requests, challenging preconceptions and assumptions, The Sr. Compliance Analyst ensures firm programs and policies are articulated in a positive and credible manner to regulators. 

This is a hybrid role based in Dallas, Texas.

What will you do:

• 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 thinking critically about the nature of requests to identify underlying purposes and potential risks presented.
• Maintain awareness of regulatory activities and industry developments to identify trends and emerging issues that may have an impact on Cetera’s business.
• Other duties as assigned.

What you need to have: 

• 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 

What is nice to have

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

Travel Requirements: Up to 25%

Compensation: 

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 a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Salary range may also differ significantly due to geography and cost of labor considerations.

#LI-Hybrid

About Us

What we give you in return:

Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:

• 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 plus 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.

About Cetera Financial Group:

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 one of the largest independent financial advisor networks in the nation by number of advisors, as well as 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. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology.

"Cetera Financial Group" refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Wealth Services LLC (f/k/a Cetera Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. All firms are members FINRA/SIPC.

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 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.

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