Compliance Analyst - Broker Dealer

Cetera • Dallas, TX

1d • $59,000 - $103,000 • Hybrid

About The Position

The Broker Dealer (BD) Compliance team is responsible for ensuring that the Firm’s policies and procedures are followed regarding the products, processes, procedures, and services offered. Their core function is to guide and advise internal partners and the field on the policies and procedures of the BD, as well as the rules and regulations of the highly regulated industry. They work in partnership to find solutions where possible to the challenges faced by business partners and the field force so that each can achieve their objectives in a compliant manner. And, when necessary, educate on the reasoning and risks when the desired answer is not possible.

Requirements

• 1–3 years of broker-dealer compliance experience.
• FINRA Series 7 and Series 24 registrations required.
• Knowledge of applicable regulations and interpretive guidance.
• Understanding of industry best practices.
• Strong problem-resolution skills.
• Ability to conduct thorough analysis and apply practical, policy, and regulatory frameworks.
• Excellent written and verbal communication skills.
• Strong interpersonal and relationship-building skills.
• Ability to prepare accurate and thorough written documentation.
• Ability to manage multiple tasks proactively and meet deadlines.
• Ability to work independently and collaboratively in a team environment.
• Ability to manage workloads and support team priorities as needed.
• High school diploma or equivalent required.

Nice To Haves

• FINRA Series 4 and/or Series 53 preferred.
• Experience with Microsoft Office, including Excel, Word, and PowerPoint; Salesforce experience preferred.
• Bachelor’s degree preferred.

Responsibilities

• Respond to inquiries from field and home office personnel to support compliance with applicable laws, regulations, and Firm policies and procedures.
• Address emails and phone calls received through the Compliance Inbox and Compliance Hotline.
• Review and process client accommodations requested by field partners.
• Assist with Vulnerable Adult cases and potential exploitation cases in accordance with firm policy and FINRA Rules 2165 and 4512.
• Assist the Information Security Team by providing Compliance support with incidents for the firm.
• Respond to inquiries from the field on various compliance topics including trades after death, operations questions, and beneficiary questions.
• Review office-sharing arrangements to ensure alignment with regulatory and Firm requirements.
• Stay up to date with training and current vulnerable adult topics to assist the firm and to train field offices when necessary.
• Identify and maintain risk areas for annual compliance training.
• Monitor and test Firm policies and procedures based on risk levels.
• Perform FINRA Rule 3120 and ad hoc testing on Compliance and Firm functions.
• Deliver occasional training to field and home office personnel on compliance topics.
• Be open to cross training amongst all compliance areas to assist other groups when needed.
• Review of Due Diligence meetings to ensure regulatory and firm requirements are met.
• Review Outside Business Activity escalations and provide guidance on next steps.
• Provide oversight of Outside Business Activities approved with conditions to help ensure adherence to those conditions.
• Review and analyze individuals seeking to affiliate with the Firm.
• Enter cases and supporting documentation into Firm-approved tools.
• Stay informed on new regulations, policies, technologies, products, and related compliance implications.
• Serve as a primary contact for Designated Principals, Registered Representatives, and internal partners such as Supervision, Resource Center, and Operations.
• 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+ 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