Compliance Analyst - Broker Dealer

Socket.dev; Dallas (TX); On-site; USD 59,000 - 103,000; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

Life insurance

PTO

Holidays

401(k)

Parental leave

HSAs/FSAs

Wellness days

Job summary

Cetera Financial Group, a leading independent broker-dealer network, seeks a Compliance professional in Dallas, TX to support compliance with laws, policies, and procedures. You will handle inquiries, process client accommodations, and assist with regulatory matters while coordinating with field and home office teams.

The role requires FINRA Series 7 and 24, strong analytical skills, and the ability to work independently or across teams.

Qualifications

• 1–3 years of broker-dealer compliance experience.
• FINRA Series 7 and Series 24 registrations required.
• Knowledge of applicable regulations and interpretive guidance.
• Understanding of industry best practices.
• Strong problem-resolution skills.
• Ability to conduct thorough analysis and apply practical, policy, and regulatory frameworks.
• Excellent written and verbal communications skills.
• Strong interpersonal and relationship-building skills.
• Ability to prepare accurate and thorough written documentation.
• Ability to manage multiple tasks proactively and meet deadlines.
• Ability to work independently and collaboratively in a team environment.

Responsibilities

• Respond to inquiries from field and home office personnel to support compliance with applicable laws, regulations, and Firm policies and procedures.
• Address emails and phone calls received through the Compliance Inbox and Compliance Hotline.
• Review and process client accommodations requested by field partners.
• Assist with Vulnerable Adult cases and potential exploitation cases in accordance with firm policy and FINRA Rules 2165 and 4512.
• Assist the Information Security Team by providing Compliance support within incidents for the firm.
• Respond to inquiries from the field on various compliance topics including trades after death, operations questions, and beneficiary questions.

Skills

Broker-dealer compliance

Regulatory knowledge

Problem resolution

Written and verbal communication

Education

High school diploma or equivalent

Bachelor’s degree preferred

Tools

Microsoft Office

Excel

Word

PowerPoint

Salesforce

Job description

Whatyou willdo:

• Respond to inquiries from field and home office personnel tosupportcompliance with applicable laws, regulations, and Firm policiesand procedures.
• Address emails and phone callsreceived throughthe Compliance Inbox and Compliance Hotline.
• Review and process client accommodations requested by field partners.
• Assistwith Vulnerable Adultcasesandpotential exploitation cases in accordance with firm policy andFINRA Rules 2165 and 4512.
• Assistthe Information Security Teamby providing Compliance supportwithincidents for the firm.
• Respond toinquiresfrom the field on various compliance topics including trades after death, operationsquestions,andbeneficiaryquestions.
• Reviewoffice-sharingarrangementsto ensure alignment with regulatory and Firm requirements.
• Stay up to date with training and current vulnerable adult topicsto assist the firm and to train field offices when necessary. Identify and maintain risk areas for annual compliance training.
• Monitor and testFirmpolicies and procedures based on risk levels.
• PerformFINRA Rule3120 and ad hoc testing on Compliance andFirmfunctions.
• Deliveroccasional training to field and home office personnel on compliance topics. Be open to cross training amongst all compliance areas to assist other groups when needed.
• Review ofDue Diligence meetings to ensureregulatory and firm requirements are met.
• Review Outside Business Activity escalations and provide guidance on next steps.
• Provide oversight of Outside Business Activities approved with conditions to help ensure adherence to those conditions.
• Review and analyze individuals seeking to affiliate with theFirm.
• Entercases andsupportingdocumentation intoFirm-approved tools.
• Stayinformed onnew regulations, policies, technologies,products, andrelatedcompliance implications.
• Serve as a primary contact for Designated Principals, Registered Representatives, and internal partners such as Supervision, Resource Center, and Operations.
• Participate in projectwork as needed.

What you need to have:

• 1–3 years ofbroker-dealer complianceexperience.
• FINRASeries 7 andSeries24registrationsrequired.
• Knowledge of applicable regulationsand interpretive guidance.
• Understanding of industry best practices.
• Strong problem-resolution skills.
• Ability to conduct thorough analysis and apply practical, policy, and regulatory frameworks.
• Excellent written and verbal communicationskills.
• Strong interpersonal and relationship-building skills.
• Ability to prepareaccurate and thorough written documentation.
• Ability to manage multiple tasks proactively and meet deadlines.
• Ability to work independently and collaboratively in a team environment.
• Ability to manageworkloads andsupportteamprioritiesas needed.
• High school diploma or equivalent required.

Nice to Have:

• FINRASeries 4 and/orSeries53 preferred.
• Experience with Microsoft Office,including Excel, Word,andPowerPoint;Salesforceexperience preferred.
• Bachelor’s degreepreferred.

Compensation:

The base annual salary range for this role is $59,000 to $103,000, plus a competitive performance-based bonus. Baseannual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location.Baseannual salary may also differ significantly due to geography and cost of labor considerations.

What we give you in return:

Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:

• 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+ 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.

About Cetera Financial Group:

Cetera Financial Group ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is an independent financial advisor network and a leading provider of retail services to the investment programs of banks and credit unions.

Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.

"Cetera Financial Group" refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions, and Cetera Financial Specialists.

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 the 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.

Agencies please note: this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.

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