Compliance Analyst - Advisory

Job Description

Cetera Financial Group is currently seeking an Advisory Compliance Analyst to sit within a team and be a part of a growing area of our firm and directly focused on the advisory side of our business. This is a unique opportunity to work with various members of the organization internally, as well as our field advisors. This is a hybrid role, 2-3 days weekly in office.

Candidates must be located in Dallas, TX.

• Perform surveillance reviews of advisors, transactions, and client accounts to identify exceptions and detect patterns or trends that may be of concern
• Analyze applicable information and resources to ensure Firm policies and procedures, as well as all applicable laws and regulations, are followed
• Review applicable laws and regulations for impact on new and existing policies and procedures, and recommend new policies and procedures
• Communicate policy changes and issues to affected business units, supervisors, and advisors
• Determine appropriate escalation to supervisory personnel for resolution
• Compose and issue compliance-related communications
• Take active part in the review, monitoring, testing and verification of Firm policies and procedures
• Assist with regulatory requests
• Collaborate and provide guidance to Designated Supervisors, Advisors, and members of the firm

• 1-3 years of relevant experience in compliance and/or supervision
• Ability to interpret supervisory procedures and regulatory requirements
• Analytical skills, ability to research and resolve complex issues
• Effective written and oral communication skills with all levels within the organization
• Proficient in Microsoft Excel, Word, and Access
• Series 7, 24, 63, or 66 required (or ability to obtain within 3 to 6 months upon hire)
• The ability to work with many diverse assignments with minimal direction and attention to detail
• Top‑note oral and written communication skills
• Keen eye for detail
• Strong analytical and organizational skills

The base annual salary range for this role is $66,000 to $95,000, 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.

• Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan‑ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and foster.
• Health Savings Account and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), Life Lock, pet insurance, and more.

Cetera Financial Group® ("Cetera") is a leading network of independent retail broker‑dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions.

Through its multiple distinct firms, Cetera offers independent and institutions‑based advisors the benefits of a large, established broker‑dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award‑winning wealth management and advisory platforms, comprehensive broker‑dealer and registered…