BD Compliance Analyst – Hybrid (Dallas Area)

Cetera Financial Group; United States; Hybrid; USD 65,000 - 90,000; Full time

Job summary

Cetera Financial Group is seeking a Compliance Analyst in Broker-Dealer Compliance. This hybrid role is located near Dallas, TX and supports field and home office in ensuring policies align with laws and FINRA rules.

Responsibilities include handling inquiries, reviewing client accommodations, and assisting with FINRA 2165/4512 cases, while training colleagues and staying current on regulations. Requires 1–3 years of broker-dealer compliance and FINRA Series 7 and 24.

Qualifications

• 1–3 years of broker-dealer compliance experience.
• FINRA Series 7 and Series 24 registrations required.
• Knowledge of applicable regulations and interpretive guidance.
• Ability to conduct thorough analysis and document outcomes.
• Excellent written and verbal communication skills.

Responsibilities

• Respond to inquiries from field and home office to support compliance with laws, regulations, and firm policies.
• Address emails and calls through Compliance Inbox and Hotline.
• Review and process client accommodations requested by field partners.
• Assist with FINRA Rules 2165 and 4512 related cases and vulnerable audits.
• Provide Compliance support to Information Security with incidents.
• Respond to field inquiries on topics including trades after death and beneficiary questions.
• Monitor and test firm policies based on risk levels.
• Deliver occasional training to field and home office personnel.

Skills

Broker-dealer compliance

Regulatory knowledge

Analytical thinking

Written & verbal communication

Multi-tasking

Team collaboration

Education

High school diploma or equivalent

FINRA Series 7

FINRA Series 24

Tools

Microsoft Office

Excel

Word

PowerPoint

Salesforce

Job description

Cetera Financial Group is seeking a Compliance Analyst in Broker-Dealer Compliance. This hybrid role is located near Dallas, TX and supports field and home office in ensuring policies align with laws and FINRA rules.

Responsibilities include handling inquiries, reviewing client accommodations, and assisting with FINRA 2165/4512 cases, while training colleagues and staying current on regulations. Requires 1–3 years of broker-dealer compliance and FINRA Series 7 and 24.