Senior Compliance Analyst - Regulatory Exams

Cetera • Dallas, TX

2d • Hybrid

About The Position

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.

Requirements

• 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

Nice To Haves

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

Responsibilities

• 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.

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: Senior
• Education Level: Associate degree