Cetera Financial Group
Cetera Financial Group is hiring a full-time Compliance Analyst to join our Broker Dealer Compliance team in Dallas, Texas. In this role, you'll ensure our firm's policies and procedures are consistently applied across regulatory reviews, evaluating applicants and maintaining compliance with securities regulations.
About the Role
The Broker Dealer Compliance Analyst is a key member of our compliance department, working to uphold regulatory standards and protect the integrity of our operations. You'll be at the intersection of policy, procedure, and regulatory oversight—reviewing new applicants, assessing compliance risks, and guiding stakeholders through our regulatory framework.
What You'll Do
- Conduct thorough regulatory reviews of new applicants, evaluating their qualifications against firm standards and industry requirements
- Ensure consistent application of company policies and procedures across all compliance evaluations
- Assess individuals and operational practices against FINRA, SEC, and other applicable securities regulations
- Provide guidance and advisory support to internal teams and external partners on compliance matters
- Monitor regulatory developments and update internal procedures to reflect rule changes
- Document compliance findings and maintain detailed records of regulatory reviews
- Support onboarding processes by verifying regulatory eligibility and background requirements
What We're Looking For
- Bachelor's degree or equivalent professional experience in compliance, finance, or regulatory affairs
- Knowledge of securities regulations, including FINRA rules, SEC requirements, and broker-dealer compliance standards
- Strong attention to detail with the ability to handle complex regulatory documentation
- Excellent written and verbal communication skills
- Ability to work effectively with cross-functional teams including legal, operations, and management
- Problem-solving mindset and commitment to maintaining the highest compliance standards
- Familiarity with compliance systems and databases is a plus
About Cetera Financial Group
Cetera Financial Group is a leading provider of wealth management and financial services. Our compliance-first culture ensures that we operate with integrity in a highly regulated industry while serving our clients and advisors with excellence.
How to Apply
Ready to join our compliance team? Apply now through this listing to be considered for this full-time Compliance Analyst position in Dallas, Texas.
To apply for this job please visit www.adzuna.com.
Working in Dallas, Texas
Dallas is a city in the U.S. state of Texas. Located in northern Texas, it is the ninth-most populous city in the United States and third-most populous city in Texas, with a population of 1.3 million at the 2020 census. Along with the city of Fort Worth, Dallas anchors the Dallas–Fort Worth metroplex, the fourth-most populous metropolitan area in the U.S. and the most populous metropolitan area in Texas, at 8.5 million people. Dallas is a core city of the largest metropolitan area in the Southern U.S. and the largest inland metropolitan area in the U.S. that lacks any navigable link to the sea
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