Hybrid Advisory Compliance Analyst (Dallas)

Cetera Financial Group; Dallas (TX); Hybrid; USD 70,000 - 90,000; Full time

Benefits offered by this job

Health, dental, and vision insurance

20+ days paid time off

401(k) Savings plan with company contribution

Paid parental leave

Mental health benefits

Flexible Spending Account options

Job summary

A financial services firm in Dallas seeks an Advisory Compliance Analyst to conduct compliance reviews and policy analysis. This hybrid role requires 1-3 years of compliance experience and entails collaborating with various stakeholders. Strong analytical and communication skills are essential. The position offers a competitive salary ranging from $70,000 to $90,000, alongside comprehensive health benefits, paid time off, and a 401(k) plan with company contributions.

Qualifications

• 1-3 years of relevant experience in compliance and/or supervision.
• Ability to interpret supervisory procedures and regulatory requirements.
• Top-notch oral and written communication skills.

Responsibilities

• Perform surveillance reviews of advisors and transactions.
• Analyze information to ensure compliance with policies.
• Communicate policy changes to business units and advisors.

Skills

Compliance and supervision experience

Analytical skills

Effective communication

Proficient in Microsoft Excel

Education

Series 7, 24, 63, or 66 required

Tools

Microsoft Excel

Microsoft Word

Microsoft Access

Job description

A financial services firm in Dallas seeks an Advisory Compliance Analyst to conduct compliance reviews and policy analysis. This hybrid role requires 1-3 years of compliance experience and entails collaborating with various stakeholders. Strong analytical and communication skills are essential. The position offers a competitive salary ranging from $70,000 to $90,000, alongside comprehensive health benefits, paid time off, and a 401(k) plan with company contributions.