Regulatory Exams Lead — Hybrid (Dallas)

Cetera Financial Group; Dallas (TX); Hybrid; USD 82,000 - 117,000; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

Life insurance

Paid time off

401(k) plan

Job summary

Cetera Financial Group, a nationwide network of independent broker-dealers and RIAs, seeks a Sr. Compliance Analyst (Regulatory Exams) to coordinate examinations and liaise with regulators from state and federal agencies, including FINRA.

Based in Dallas with hybrid work, you will manage remediation plans and draft regulator responses. You will support data collection, analyze regulatory requests, and monitor industry developments to anticipate risks and regulatory changes affecting Cetera's

Qualifications

• Broad and extensive working knowledge of FINRA, SEC, and MSRB regulations and their applicability to differing circumstances.
• Effective communication skills with polished and persuasive speaking and writing abilities.
• A flexible and adaptable mindset with the ability to rapidly digest and process information while shifting between different subject matters.
• 3+ years of experience working in broker/dealer or investment adviser compliance and/or regulatory affairs, with progressively increasing responsibilities.
• Series 7 and Series 24 registrations demonstrated or in progress.

Responsibilities

• Develop and maintain positive and productive working partnerships with stakeholders and regulatory personnel.
• Partner with firm-level Compliance, Supervision, and business line management teams to guide remediation plans for examination findings and draft formal written responses to examination reports
• Complete the collection, analysis, and delivery of data, documents, and other information to regulators, including thinking critically about the nature of requests to identify underlying purposes and potential risks presented.
• Maintain awareness of regulatory activities and industry developments to identify trends and emerging issues that may have an impact on Cetera's business.
• Other duties as assigned.

Skills

Regulatory compliance knowledge

Communication skills

Adaptability

Education

Bachelor's degree in finance or related field

Tools

Series 7

Series 24

Job description

Cetera Financial Group, a nationwide network of independent broker-dealers and RIAs, seeks a Sr. Compliance Analyst (Regulatory Exams) to coordinate examinations and liaise with regulators from state and federal agencies, including FINRA.

Based in Dallas with hybrid work, you will manage remediation plans and draft regulator responses. You will support data collection, analyze regulatory requests, and monitor industry developments to anticipate risks and regulatory changes affecting Cetera's