Compliance Analyst: Risk & Regulatory Oversight

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

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.