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Regulatory Compliance Specialist Financial Services Financial Compliance Risk Manager/Analyst

Broker-Dealer Compliance Analyst: Onboarding & Risk Review

Job in Dallas, Dallas County, Texas, 75215, USA
Listing for: Cetera Financial Group
Full Time position
Listed on 2026-06-22
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Financial Services, Financial Compliance, Risk Manager/Analyst
Salary/Wage Range or Industry Benchmark: 66000 - 95000 USD Yearly USD 66000.00 95000.00 YEAR
Job Description & How to Apply Below
Cetera Financial Group is seeking a Compliance Officer in Dallas, TX, responsible for evaluating new applicants against regulatory standards. Key tasks include conducting background reviews, identifying risk factors, and ensuring compliance with firm policies. The role requires 1-3 years of BD Compliance experience, FINRA Series 7 & 24, and a strong understanding of financial regulations. Compensation includes a base salary range of $66,000 - $95,000 plus performance-based bonus, with additional benefits for full-time roles.
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