Compliance Analyst - Branch Exams

Cetera

13d • $75,000 - $90,000 • Remote

About The Position

The Compliance Analyst – Branch Exams conducts audits of broker‑dealer and advisory branch offices to assess compliance with FINRA, SEC, and applicable state regulatory requirements, as well as firm policies and procedures. This role plays a critical part in building trusted partnerships between the Audit team, firm leadership, field supervisors, and financial professionals.
This position reports directly to an Audit Manager and is fully remote, with periodic travel required.

Requirements

• Active Series 7, 24, and 66 licenses (or Series 63 and 65)
• 5+ years of relevant experience in:
• Branch examinations or audits
• Broker‑dealer operations
• Securities or investment advisory compliance
• Ability to work independently in a remote, self‑directed environment
• Strong written and verbal communication skills
• Proficiency with Microsoft Office, including Word, Excel, Teams, and Outlook

Nice To Haves

• Bachelor’s or Associate’s degree in Business, Finance, Accounting, or Economics
• 10+ years of experience in financial services or a related field
• Prior experience working remotely and traveling regularly for business
• Comfortable leveraging AI‑enabled tools to improve efficiency and quality
• AI Prompt Engineering

Responsibilities

• Conduct compliance examinations of securities brokerage and advisory branch offices
• Approximately 90% of exams are performed remotely
• Up to 40% domestic travel may be required as business needs evolve
• Identify, research, and investigate potential audit exceptions
• Lead opening and closing meetings with branch personnel and leadership
• Prepare clear, well‑organized audit reports and supporting documentation
• Collaborate with Audit Managers and team members to improve processes, drive efficiencies, and enhance exam quality
• Apply regulatory knowledge to real‑world business scenarios with sound judgment and professionalism

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree