Compliance Analyst - Branch Exams

Cetera Financial Group Inc; United States; Remote; USD 85,000 - 95,000; Full time

Job summary

You will perform examinations, investigate exceptions, lead meetings, and produce audit reports while collaborating with the team to improve processes and exam quality.

Qualifications

• Active Series 7, 24, and 66 licenses (or Series 63 and 65)
• 5+ years of experience in branch examinations or audits; broker-dealer operations; securities/advisory compliance
• Ability to work independently in a remote, self-directed environment
• Strong written and verbal communication skills
• Proficiency with Microsoft Office applications (Word/Excel/Teams/Outlook)

Responsibilities

• Audit compliance examinations of broker-dealer and advisory branches.
• Identify, research, and investigate potential audit exceptions.
• Lead opening and closing meetings with branch personnel and leadership.
• Prepare clear, well-organized audit reports and documentation.
• Collaborate with Audit Managers to improve processes and exam quality.
• Apply regulatory knowledge to real-world business scenarios with sound judgement.

Skills

Communication skills

Remote work

Microsoft Office proficiency

Education

Bachelor's or Associate's degree in Business/Finance/Accounting/Economics

Tools

Microsoft Word

Microsoft Excel

Microsoft Teams

Microsoft Outlook

Job description

Compliance Analyst - Branch Exams

The Compliance Analyst - Branch Exams conducts audits of broker-dealer and advisory branch offices to assess compliance with FINRA, SEC, and applicable state regulatory requirements, as well as firm policies and procedures. This role plays a critical part in building trusted partnerships between the Audit team, firm leadership, field supervisors, and financial professionals.

This position reports directly to an Audit Manager and is fully remote, with periodic travel required.

What You'll Do

• Conduct compliance examinations of securities brokerage and advisory branch offices
  • Approximately 90% of exams are performed remotely
  • Up to 40% domestic travel may be required as business needs evolve
• Identify, research, and investigate potential audit exceptions
• Lead opening and closing meetings with branch personnel and leadership
• Prepare clear, well-organized audit reports and supporting documentation
• Collaborate with Audit Managers and team members to improve processes, drive efficiencies, and enhance exam quality
• Apply regulatory knowledge to real-world business scenarios with sound judgment and professionalism

What You Need to Have:

• Active Series 7, 24, and 66 licenses (or Series 63 and 65)
• 5+ years of relevant experience in:
  • Branch examinations or audits
  • Broker-dealer operations
  • Securities or investment advisory compliance
• Ability to work independently in a remote, self-directed environment
• Strong written and verbal communication skills
• Proficiency with Microsoft Office, including Word, Excel, Teams, and Outlook

What's Nice to Have:

• Bachelor's or Associate's degree in Business, Finance, Accounting, or Economics
• 10+ years of experience in financial services or a related field
• Prior experience working remotely and traveling regularly for business
• Comfortable leveraging AI-enabled tools to improve efficiency and quality
• AI Prompt Engineering

Compensation:

The base annual salary range for this role is $85,000 to $95,000, 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.

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