Compliance Analyst - Broker Dealer

Cetera • Dallas, TX

1d • Hybrid

About The Position

The Broker Dealer (BD) Compliance team is responsible for ensuring that the Firm’s policies and procedures are applied consistently in the regulatory review of new applicants. Our core function is to evaluate prospective individuals against the Firm’s standards, as well as the rules and regulations governing our highly regulated industry. We guide and advise internal and external partners throughout the onboarding and approval process, helping them understand eligibility requirements, documentation expectations, and potential risk indicators. We work in partnership to identify compliant solutions where possible, supporting our business partners and field force in bringing qualified applicants into the organization while maintaining regulatory integrity and protecting the Firm.

Requirements

• 1-3 years of BD Compliance experience
• FINRA Series 7 & 24 required
• Regulatory Knowledge: Strong understanding of FINRA, SEC, and state regulatory frameworks; ability to interpret and apply industry rules, regulatory guidance, and firm policies.
• Critical Analysis: Ability to evaluate complex information, identify patterns or inconsistencies, and make accurate, risk‑based determinations.
• Attention to Detail: Consistently ensures accuracy, completeness, and precision when reviewing and documenting information.
• Critical Thinking: Demonstrates sound judgment and logical reasoning when assessing ambiguous situations or competing information.
• Communication: Delivers clear, concise, and professional written and verbal communication to stakeholders at all levels of the organization.
• Collaboration: Works effectively with cross‑functional partners to resolve issues, share information, and support a smooth and compliant onboarding process.
• Adaptability: Manages high volumes, shifting priorities, and changing requirements while maintaining quality and meeting deadlines.
• Confidentiality & Integrity: Upholds strict standards for handling sensitive information and consistently acts with professionalism and ethical responsibility.
• Technology Proficiency: Demonstrates strong working knowledge of Microsoft Office (Excel, Word, PowerPoint)
• Interpersonal Relations: Builds positive, respectful relationships; fosters trust and open communication with internal partners and field personnel.

Nice To Haves

• Familiarity with Salesforce

Responsibilities

• Conduct thorough reviews of each applicant, including background reports, internet searches, disclosure history, and all other available information sources.
• Identify regulatory concerns, issues prohibited by firm policy, and other risk factors that may impact the applicant’s affiliation.
• Develop and submit targeted questions to stakeholders to clarify discrepancies, address concerns, and obtain missing information.
• Analyze responses to determine overall risk level and recommend appropriate next steps.
• Prepare Outside Business Activity (OBA) acknowledgment letters and generate detailed regulatory filing instructions.
• Review Office Sharing arrangements for new applicants to ensure alignment with regulatory and firm requirements.
• Apply strong critical‑thinking and sound judgment when evaluating complex information or ambiguous situations.
• Collaborate with external and internal partners to ensure regulatory and firm expectations and requirements are clearly communicated and consistently met.
• Document findings, decisions, and rationale in accordance with firm policies and regulatory standards.
• Provide secondary review for regulatory responses to ensure accuracy, completeness, and consistency.
• Identify and maintain key risk areas to support the development and enhancement of compliance training and improvements to systems related to onboarding review.
• Deliver occasional training to internal and external partners on compliance topics related to onboarding and applicant review.
• Input cases, documentation, and decisions into firm‑approved tools and systems with accuracy and timeliness.
• Stay informed on new regulations, policies, technologies, and associated compliance implications to support proactive risk identification.
• Participate in project work as assigned to support department initiatives and enhance compliance processes, included but not limited to large recruiting deals and acquisitions.
• Assist with phone calls received through the Compliance Inbox.
• Respond to and address general inquiries from external and internal partners to ensure compliance with applicable laws, regulations, and firm policies and procedures.

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