Compliance Analyst - Risk & Controls

Cetera Financial Group; Dallas (TX); On-site; USD 63,000 - 95,000; Full time

Benefits offered by this job

Health, dental, and vision insurance

Paid time off and holidays

401(k) with company contribution

Paid parental leave

Flexible spending accounts

Job summary

A financial services organization in Dallas is seeking a Compliance Analyst skilled in data analysis and risk management. This role involves analyzing control testing data, identifying deficiencies, and contributing to the improvement of compliance processes. The ideal candidate will be proficient in Excel and hold Series 7 and 63 certifications. Competitive salary and benefits are offered.

Qualifications

• Strong analytical and research skills.
• Adaptable with the ability to learn quickly.
• Communicate openly with leadership regarding statuses.

Responsibilities

• Accurate assembly of data for control reviews.
• Analyze data related to firm policies.
• Identify and address deficiencies.

Skills

Excel proficiency

Analytical skills

Knowledge of investment products and regulations

Teamwork

Ability to meet deadlines

Education

Series 7 Certification

Series 63 Certification

Job description

Cetera Financial Group provided pay range

This range is provided by Cetera Financial Group. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$63,000.00/yr - $95,000.00/yr

Direct message the job poster from Cetera Financial Group

As a component of the overall Cetera Financial Group (CFG) risk management framework, the Enterprise Risk Management (ERM) unit maintains an inventory of risks and risk controls housed within a third-party system, Archer. ERM administers control testing campaigns across the entirety of CFG which are designed to aid Cetera in the execution of a robust Risk program, which includes the underlying testing forming the basis of the regulatorily mandated reports such as 3120 for Broker Dealers and 206(4)-7 for Registered Investment Advisers.

Through the regular testing of Cetera’s controls as prioritized based upon risk, Cetera is able to verify the effectiveness of its key control processes and as applicable identify matters warranting refinements. ERM also monitors for matters impacting the regulatory front for topics of interest which may have risk implications as well as receives input and guidance from Cetera’s Risk leadership.

This role reports to the Director, Enterprise Risk Management. Responsibilities include assembly, processing and analysis of data. A strong foundation in the securities industry is important for the analyst to correlate data observations to key industry considerations, aiding the firm in efforts to identify, catalog and develop controls to mitigate risks. Proficiency using Cetera’s systems is important. This role also includes helping to identify trends and patterns within Cetera’s risk control testing practices and requires the ability to work effectively on multiple concurrent assignments with minimal direction while applying strong attention to detail. Analysts must be able to work independently as well as collaboratively in a remote setting.

What you will do:

• Accurate and timely assembly of data for use in control reviews
• Analyze data, in particular, relative to firm policies and/or procedures
• Identify and address deficiencies
• Prepare for and participate in the execution of control testing campaigns
• Respond to inquiries from Cetera personnel with regard to controls and testing
• Effectively perform risk control tests and related processes
• Recommend new and/or refinements to policies and procedures
• Contribute to the ongoing improvement of the unit
• Continue to attain industry and product knowledge

What you need to have:

• Must be proficient in Excel
• Must have strong analytical and research skills
• Possess knowledge of investment products and regulations
• Adaptable, with the ability to learn quickly and work cooperatively in a team environment while balancing individual responsibilities
• Prioritization towards the achievement of deadlines
• Communicate openly with leadership regarding statuses, observations and needs
• Series 7, and 63

Compensation:

The base annual salary range for this role is $63,000 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.

About Us

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.

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.

Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.

Seniority level

• Seniority level Associate

Employment type

• Employment type Full‑time

Job function

• Job function Finance

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Inferred from the description for this job

Medical insurance

Vision insurance

401(k)

Paid paternity leave

Paid maternity leave

Disability insurance

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