Senior Compliance Analyst – Regulatory Exams

Cnect

Senior Compliance Analyst responsible for guiding compliance in regulatory examinations at Cetera Financial Group. Collaborating with stakeholders and monitoring regulatory developments in a hybrid role based in Dallas, Texas.

Posted 5/14/2026full-timeDallas • Texas • 🇺🇸 United StatesSenior💰 $82,000 - $117,000 per yearWebsite

About the role

Key responsibilities & impact

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.

Requirements

What you’ll need

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

Benefits

Comp & perks

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 and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.

ATS Keywords

✓ Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools

data analysisregulatory complianceremediation planningdocument draftingrisk assessmentbroker/dealer complianceinvestment adviser complianceregulatory affairs

Soft Skills

effective communicationpersuasive speakingpolished writingflexibilityadaptabilitycritical thinking

Certifications

Series 7 RegistrationSeries 24 Registration