Compliance Analyst - Broker Dealer

Cetera Financial Group; Dallas (TX); Hybrid; USD 59,000 - 103,000; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

Life insurance

Paid time off & holidays

401(k) with company match

Parental leave

Mental health benefits

Employee assistance program

Job summary

Cetera Financial Group is seeking a BD Compliance professional to ensure adherence to policies and FINRA regulations across products and services. The role is hybrid, based near Dallas, TX, and involves supporting internal partners and field personnel.

Responsibilities include responding to inquiries, reviewing accommodations, assisting with audits, and providing compliance support to information security incidents. Strong regulatory knowledge and keen communication are essential.

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.
• Excellent written and verbal communication skills.
• Strong interpersonal and relationship-building skills.
• Ability to manage multiple tasks proactively and meet deadlines.
• High school diploma or equivalent required.

Responsibilities

• Respond to inquiries from field and home office to support compliance with laws, regulations, and Firm policies.
• Address emails and phone calls received through the Compliance Inbox and Hotline.
• Review and process client accommodations requested by field partners.
• Assist with Vulnerable Audit cases and FINRA Rules 2165 and 4512.
• Assist the Information Security Team by providing Compliance support with incidents.
• Respond to inquiries from the field on various compliance topics.
• Review office-sharing arrangements for regulatory alignment.
• Stay up to date with training and vulnerable adult topics to assist the firm.

Skills

Broker-dealer compliance experience

FINRA Series 7 & Series 24

Regulations guidance knowledge

Industry best practices

Problem-resolution skills

Written and verbal communication

Interpersonal skills

Multitasking and deadlines

Independent and collaborative work

High school diploma or equivalent

Education

High school diploma or equivalent

Bachelor’s degree preferred

Tools

Microsoft Office

Excel

Word

PowerPoint

Salesforce

Job description

Job Description

The Broker Dealer (BD) Compliance team is responsible for making sure that the Firm’s policies and procedures are followed regarding the products, processes, procedures, and services offered.Our core function is to guide and advise our internal partners and field on the policies and procedures of the BD, as well as the rules and regulations of our highly regulated industry.We work in partnership to find solutions where possible to the challenges faced by our business partners and field force so that each can achieve their objectives in a compliant manner. And, when necessary, educate on the reasoning and risks when the desired answer is not possible.

Job Description

The Broker Dealer (BD) Compliance team is responsible for making sure that the Firm’s policies and procedures are followed regarding the products, processes, procedures, and services offered.Our core function is to guide and advise our internal partners and field on the policies and procedures of the BD, as well as the rules and regulations of our highly regulated industry.We work in partnership to find solutions where possible to the challenges faced by our business partners and field force so that each can achieve their objectives in a compliant manner. And, when necessary, educate on the reasoning and risks when the desired answer is not possible.

This is a hybrid role, candidates must be located near an office hub: Dallas, TX.

What You Will Do

• 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 Audit 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 with incidents for the firm.
• Respond to inquires from the field on various compliance topics including trades after death, operations questions, and beneficiary questions.
• Review office-sharing arrangements to ensure alignment with regulatory and Firm requirements.
• Stay up to date with training and current vulnerable adult topics to assist the firm and to train field offices when necessary. Identify and maintain risk areas for annual compliance training.
• Monitor and test Firm policies and procedures based on risk levels.
• Perform FINRA Rule 3120 and ad hoc testing on Compliance and Firm functions.
• Deliver occasional 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 of Due Diligence meetings to ensure regulatory 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 the Firm.
• Enter cases and supporting documentation into Firm-approved tools.
• Stay informed on new regulations, policies, technologies, products, and related compliance implications.
• Serve as a primary contact for Designated Principals, Registered Representatives, and internal partners such as Supervision, Resource Center, and Operations.
• Participate in project work as needed.

What You Need To Have

• 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 communication 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.
• Ability to manage workloads and support team priorities as needed.
• High school diploma or equivalent required.

Nice To Have

• FINRA Series 4 and/or Series 53 preferred.
• Experience with Microsoft Office, including Excel, Word, and PowerPoint; Salesforce experience preferred.
• Bachelor’s degree preferred.

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.