Regulatory Exams Specialist – Hybrid (Dallas)

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

Benefits offered by this job

Health insurance

PTO 20+ days

401(k) match

Parental leave

HSA/FSA

EAP & LifeLock

Job summary

Cetera Financial Group in Dallas is seeking a Sr. Compliance Analyst (Regulatory Exams) to support broker/dealer and registered investment advisers through examinations, coordinate regulator inquiries, and draft responses.

The role collaborates with Compliance, Supervision, and business lines to guide remediation plans and track findings to closure. The position is hybrid, based in Dallas, TX, requiring 3+ years in broker/dealer or investment adviser compliance with Series 7/24 registrations and

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.
• Microsoft Excel proficiency
• 3+ years of experience working in broker/dealer or investment adviser compliance and/or regulatory affairs, with progressively increasing responsibilities.
• Series 7 & 24 Registrations

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 regs

Communication skills

Adaptability

Excel

Compliance experience

Series 7/24

Education

Bachelor’s in finance or related

Job description

Cetera Financial Group in Dallas is seeking a Sr. Compliance Analyst (Regulatory Exams) to support broker/dealer and registered investment advisers through examinations, coordinate regulator inquiries, and draft responses.

The role collaborates with Compliance, Supervision, and business lines to guide remediation plans and track findings to closure. The position is hybrid, based in Dallas, TX, requiring 3+ years in broker/dealer or investment adviser compliance with Series 7/24 registrations and