Job DescriptionThe Sr. Compliance Analyst (Regulatory Exams) is responsible for supporting the network of Cetera Financial Group's broker/dealer and registered investment advisers throughout the examination process. The Regulatory Exam Manager is responsible for coordinating all aspects of firm and branch level examinations by state or federal agencies, as well as industry regulators such as FINRA. They monitor and track findings through remediation and closure and serve as the primary liaison with regulators. By advising on regulatory requests, challenging preconceptions and assumptions, The Sr. Compliance Analyst ensures firm programs and policies are articulated in a positive and credible manner to regulators.
This is a hybrid role based in Dallas, Texas.
What will you do:- 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.
What you need to have: - Broad and extensive working knowledge of FINRA, SEC, and/or 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
What is nice to have- Prior work as a regulator
- Bachelor's degree in finance or a related field or equivalent.
- Project management skills
- Series 65/66
Travel Requirements: Up to 25%
Compensation:The base annual salary range for this role is $82,000 to $117,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.
