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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…
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Dallas, Texas, United States · Remote OK
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Dallas, Texas, United States · On-site
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Dallas, Texas, United States · On-site
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Dallas, Texas, United States · On-site
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Dallas, Texas, United States · On-site
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Dallas, Texas, United States · On-site
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Coordinate and support firm and branch level regulatory examinations by acting as the primary liaison with state, federal, and industry regulators. Manage the collection of data and documents while guiding remediation plans for examination findings.
Requires 3+ years of experience in broker/dealer or investment adviser compliance and Series 7 & 24 registrations. Proficiency in Microsoft Excel and extensive knowledge of FINRA, SEC, and MSRB regulations are essential.
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.
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
About Us
Not many teams can say that they support people’s dreams coming to life. We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:
Cetera Financial Group® (Cetera) is a leading network of independent retail broker-dealers and registered investment advisers 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 and a leading provider of retail services to the investment programs of banks and credit unions.
Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology.
Cetera Financial Group (Cetera) is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors); and Cetera Financial Specialists LLC. Entities registered as investment advisers with the Securities and Exchange Commission include Cetera Investment Management LLC and Cetera Investment Advisers LLC. Cetera's principal office is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101. Avantax Planning Partners, Inc. is an SEC registered investment adviser within the Aretec Group, Inc. (dba Cetera Holdings, an affiliate of Cetera). All the referenced entities are under common ownership.
Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.
Agencies please note: this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.
Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.
We deliver tax-intelligent wealth management solutions for Financial Professionals.
Avantax, a unique community within Cetera Holdings, delivers tax-intelligent wealth management solutions for financial professionals, tax professionals & CPA firms, supporting its goal of minimizing clients’ tax burdens through comprehensive tax-intelligent financial planning. Avantax has two distinct, but related, models within its business: the independent Financial Professional model & the employee-based model. Avantax refers to its independent Financial Professional model as Avantax Wealth Management®. Avantax Wealth Management (AWM) works with a nationwide network of Financial Professionals operating as independent contractors & offers its services through its registered broker-dealer, Avantax Investment Services, Inc., Member FINRA, SIPC, registered investment advisor (RIA), Avantax Advisory Services, Inc., & insurance agency subsidiaries. We refer to our employee-based model as Avantax Planning Partners℠. Avantax Planning Partners offers services through its RIA, insurance agency, & affiliated broker-dealer, Avantax Investment Services, Inc., & partners with CPA firms to provide their consumer & small-business clients with holistic financial planning & advisory services. Securities offered through Avantax Investment Services℠, Member FINRA (www.finra.org), SIPC (www.sipc.org). Investment advisory services offered through Avantax Advisory Services℠. Insurance services offered through licensed agents of Avantax Insurance Agency℠ & Avantax Insurance Services℠. 3200 Olympus Blvd., Suite 100, Dallas, TX, 75019, 972-870-6000. Visit Avantax.com/social_policy for more information. Avantax exclusively provides financial products and services & does not directly provide or supervise tax or accounting services. Its affiliated Financial Professionals may offer those services through their independent outside businesses. Financial Professionals’ outside companies aren't registered investment advisers.
Offices: 3200 Olympus Blvd, Suite 100, Dallas, Texas 75019, US
Based on 695 listings with disclosed salaries, most finance & accounting jobs in Dallas, TX pay between $43k–$160k per year. Individual offers vary with seniority, company size, and specialization.
There are currently 2,067 open finance & accounting positions in Dallas, TX listed on Clera. New openings are added daily as companies post roles.
Companies currently hiring include Goldman Sachs, Scotiabank, University of Texas Southwestern Medical Center, Avantax, Lockton, among others. Browse the listings above to see every active employer.
Yes — 655 of the 2067 open finance & accounting positions offer remote or hybrid work (187 remote, 468 hybrid).
Each listing links directly to the employer's application page. Apply early — fresh listings get the most recruiter attention in the first two weeks.
