Compliance Analyst - Broker Dealer

Cetera • Dallas, TX

6h • $66,000 - $95,000 • Hybrid

About The Position

The Broker Dealer (BD) Compliance team is responsible for helping ensure the Firm’s policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core function is to guide and advise our internal partners and field personnel on the broker dealer policies and procedures as well as the rules and regulation that apply to our highly regulated industry. We partner with business teams and the field to identify compliant solutions where possible and provide education on the reasoning and risks when a requested approach is not possible.

Requirements

• 1-3 years of BD Compliance experience
• FINRA Series 7 and 24 registrations required.
• Knowledge of applicable regulations and interpretive guidance
• Strong problem resolution skills
• Ability to conduct thorough analysis and apply practical, policy and regulatory frameworks
• Excellent written and verbal communication skills
• Strong interpersonal relations and relationship building skills
• Ability to work independently and collaboratively in a team environment and meet deadlines
• Ability to manage workloads and support team priorities as needed
• HS Degree at minimum

Nice To Haves

• MS office including Excel, Word, PowerPoint, and Salesforce (preferrable)
• Bachelor’s degree preferable

Responsibilities

• Respond to inquiries from field and home office personnel to support compliance with the applicable laws, regulations and Firm policies and procedures.
• Address emails and phone calls received through the Compliance Email Inbox and Compliance Hotline
• Review and analyze Private Securities Transaction requests, identify potential conflicts or regulatory concerns, and communicate acknowledgments or next steps
• Evaluate Due Diligence meetings for compliance with regulatory and firm requirements.
• Evaluate office-sharing arrangements for compliance with applicable regulatory and Firm requirements.
• Provide secondary review for regulatory responses.
• Review Outside Business Activity escalations and provide guidance on next steps.
• Provide oversight of Outside Business Activities approved with conditions
• Monitor and test Firm policies and procedures based on risk levels.
• Perform 3120 and ad hoc testing on specific Compliance and Firm functions.
• Deliver occasional training to field and home office personnel on compliance topics.
• Review and analyze individuals seeking to affiliate with the firm.
• Enter cases and supporting documentation into respective Firm approved tools.
• Assist with updates to compliance policies, procedures, and manuals.
• Stay informed on new regulations, policies, technologies, products and related compliance implications.
• Participate in project work as needed

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: High school or GED