Compliance Analyst- Advisory

Cetera Financial Group; Dallas (TX); Hybrid; USD 70,000 - 90,000; Full time

Benefits offered by this job

Health, dental, and vision insurance

20+ days paid time off

401(k) Savings plan with company contribution

Paid parental leave

Mental health benefits

Flexible Spending Account options

Job summary

A financial services firm in Dallas seeks an Advisory Compliance Analyst to conduct compliance reviews and policy analysis. This hybrid role requires 1-3 years of compliance experience and entails collaborating with various stakeholders. Strong analytical and communication skills are essential. The position offers a competitive salary ranging from $70,000 to $90,000, alongside comprehensive health benefits, paid time off, and a 401(k) plan with company contributions.

Qualifications

• 1-3 years of relevant experience in compliance and/or supervision.
• Ability to interpret supervisory procedures and regulatory requirements.
• Top-notch oral and written communication skills.

Responsibilities

• Perform surveillance reviews of advisors and transactions.
• Analyze information to ensure compliance with policies.
• Communicate policy changes to business units and advisors.

Skills

Compliance and supervision experience

Analytical skills

Effective communication

Proficient in Microsoft Excel

Education

Series 7, 24, 63, or 66 required

Tools

Microsoft Excel

Microsoft Word

Microsoft Access

Job description

Cetera Financial Group is currently seeking an Advisory Compliance Analyst to sit within a team and be a part of a growing area of our firm and directly focused on the advisory side of our business. This is a unique opportunity to work with various members of the organization internally, as well as our field advisors.

This is a hybrid role, 2-3 days weekly in office. Candidates must be located in Dallas, TX.

What you will do:

• Perform surveillance reviews of advisors, transactions, and client accounts to identify exceptions and detect patterns or trends that may be of concern
• Analyze applicable information and resources to ensure Firm policies and procedures, as well as all applicable laws and regulations, are followed
• Review applicable laws and regulations for impact on new and existing policies and procedures, and recommend new policies and procedures
• Communicate policy changes and issues to affected business units, supervisors, and advisors
• Determine appropriate escalation to supervisory personnel for resolution
• Compose and issue compliance-related communications
• Take active part in the review, monitoring, testing and verification of Firm policies and procedures
• Assist with regulatory requests
• Collaborate and provide guidance to Designated Supervisors, Advisors, and members of the firm
• Other duties as assigned

What you need to have:

• 1-3 years of relevant experience in compliance and/or supervision
• Ability to interpret supervisory procedures and regulatory requirements
• Analytical skills, ability to research and resolve complex issues
• Effective written and oral communication skills with all levels within the organization
• Proficient in Microsoft Excel, Word, and Access
• Series 7, 24, 63, or 66 required (or ability to obtain within 6-12 months upon hire)
• The ability to work with many diverse assignments with minimal direction and attention to detail
• Top-notch oral and written communication skills
• Strong analytical and organizational skills

Compensation:

The base annual salary range for this role is $70,000 to $90,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.

What we give you in return:

• 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.

Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.