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Senior Compliance Analyst - Regulatory Exams

Cetera Financial Group, Inc.

Dallas, Texas • Today

Full-time

USD 82,000.00 - 117,000.00 per year

Packaging & Regulatory Data Senior Analyst

Kforce Technology Staffing

Remote or Clifton, Virginia • Today

Contract

$55 - $63 hourly

IT Business Senior Analyst

PerigonSoft, LLC

Irving, Texas • 24d ago

Contract

Depends on Experience

Senior Trading Analyst

Altruist

Dallas, Texas • 17d ago

Full-time

USD 79,000.00 - 107,000.00 per year

Senior Associate, Data & Analytics Risk & Compliance

TIAA

Dallas, Texas • 4d ago

Full-time

USD 100,000.00 - 124,000.00 per year

Senior Cybersecurity and Compliance Engineer

IT FACE Inc.

Dallas, Texas • Yesterday

Easy Apply

Third Party, Contract

Depends on Experience

Artificial Intelligence Senior Analyst

Toyota Motor North America

Plano, Texas • Today

Full-time

Senior Analyst, Cyber Risk Assurance

Toyota Motor North America

Plano, Texas • Today

Full-time

Business Continuity Senior Analyst

Toyota Motor North America

Plano, Texas • Today

Full-time

Senior Analyst, Threat & Exposure

Toyota Motor North America

Plano, Texas • Today

Full-time

Program Lead, CRA Compliance

Vailexa Technology LLC

Plano, Texas • 16d ago

Full-time

Depends on Experience

Data Solutions & Analytics Senior Analyst

Robinhood

Westlake, Texas • Today

Full-time

USD 141,773.00 - 162,000.00 per year

Senior Associate, Data & Analytics Risk & Compliance

TIAA

Hybrid in Frisco, Texas • Today

Full-time

USD 100,000.00 - 124,000.00 per year

IT Business Senior Analyst

Crowdplum Global Services LLC

Irving, Texas • 16d ago

Easy Apply

Full-time

Depends on Experience

Senior Risk & Compliance Professional

Kforce Technology Staffing

Remote or Tukwila, Washington • Today

Contract

$60 - $70 hourly

Senior Data Analyst

Stride, Inc

Remote or Virginia • Today

Full-time

USD 84,338.00 - 101,206.00 per year

Senior Cybersecurity Analyst

Cherokee Federal

Remote • Today

Full-time

USD 130,000.00 - 135,000.00 per year

Senior Renewable Studies Engineer (NERC Compliance) (63357)

NEI Electric Power Engineering, Inc

Remote or Lakewood, Colorado • Today

Full-time

USD 100,000.00 - 165,000.00 per year

Sr. Solution Architect – Security & Compliance Engineer

Keypixel Software Solutions

Remote • Yesterday

Easy Apply

Contract, Third Party

Depends on Experience

Senior SIU Analyst / Fraud Analyst / Healthcare Domain Only

DVI Technologies, Inc.

Remote • Yesterday

Easy Apply

Contract

45 - 50

Sr Cybersecurity Governance, Risk and Compliance Manager

Boeing Employees Credit Union

Remote or Washington • Today

Full-time

USD 156,200.00 - 190,800.00 per year

Senior CCPA Analyst

MHK TECH INC

Remote • 2d ago

Easy Apply

Contract

Depends on Experience

Cybersecurity and Compliance Lead

Myriad Genetics, Inc.

Remote or Salt Lake City, Utah • 7d ago

Full-time

USD 128,400.00 per year

Business Systems Analyst – AML / Financial Crimes / Risk & Compliance (Actimize)

Sabio infotech

Hybrid in Dallas, Texas • 6d ago

Easy Apply

Full-time

Depends on Experience

Trade Compliance & Inventory Management

The Intersect Group

Hybrid in Dallas, Texas • 7d ago

Easy Apply

Full-time

Depends on Experience

Director, IT Governance, Risk & Compliance

Commercial Metals Company

Irving, Texas • Today

Full-time

Senior Healthcare Solutions Architect Security & Compliance-Remote

HPTech Inc.

Remote • Today

Easy Apply

Contract

Depends on Experience

Compliance - Technology Operational Risk Management (Technology Development) - Vice President

JPMorgan Chase & Co.

Plano, Texas • 10d ago

Full-time

EDI Compliance Analyst

iSphere

Remote • 20d ago

Easy Apply

Contract, Third Party

Depends on Experience

2027 Early Talent Internship: Risk & Compliance

TIAA

Hybrid in Frisco, Texas • Today

Full-time

Compensation information provided in the description

Cetera Financial Group, Inc.

Job Details

Skills

Network
Partnership
Supervision
Line Management
SEC
Effective Communication
Writing
Adaptability
Microsoft Excel
Regulatory Compliance
Regulatory Affairs
Finance
Project Management

Summary

Job Description

The 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 salary range for this role in Dallas, TX is $82,000 to $117,000, plus a competitive performance-based bonus. Base salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Salary range may also differ significantly due to geography and cost of labor considerations.

#LI-Hybrid

Employers have access to artificial intelligence language tools (“AI”) that help generate and enhance job descriptions and AI may have been used to create this description. The position description has been reviewed for accuracy and Dice believes it to correctly reflect the job opportunity.

Dice Id: RTX1a6d2c
Position Id: 6478
Posted 30+ days ago

Company Info

About Cetera Financial Group, Inc.

Advancing What's Next

Cetera Financial Group, Inc. is transforming how advisors guide individuals and families to achieve financial well-being at every stage of their lives.

We’re enablers. Mentors. Dream builders. Our purpose is to turn financial aspirations into reality. Within our community lies a vibrant wellspring of growth and opportunity for financial professionals, financial institutions, and individual investors alike. As a premier financial services firm, we don’t just deliver financial technology, bespoke guidance, research and market intelligence, and collaborative client-service platforms. We build environments where ideas thrive, connections flourish, and ambitions become remarkable achievements. Driven to deliver unwavering support and innovative solutions to help people live their purpose, we empower each other and the communities around us to bring a stronger tomorrow to life.

Go to company profile

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Cetera Financial Group, Inc.

Job Details

Skills

Network
Partnership
Supervision
Line Management
SEC
Effective Communication
Writing
Adaptability
Microsoft Excel
Regulatory Compliance
Regulatory Affairs
Finance
Project Management

Summary

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

Dice Id: RTX1a6d2c
Position Id: 6478
Posted 30+ days ago

Company Info

About Cetera Financial Group, Inc.

Advancing What's Next

Cetera Financial Group, Inc. is transforming how advisors guide individuals and families to achieve financial well-being at every stage of their lives.

Go to company profile

Fitment