The Broker Dealer (BD) Compliance team is responsible for making sure that the Firm’s policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core function is to guid…
Benefits: 401(k) matching Company parties Competitive salary Dental insurance Flexible schedule Free food & snacks Health insurance Opportunity for advancement Paid time off Profit sharing Stock options plan Training & d…
Skills: Mineral title interpretation, Lease administration, Title curative, Ownership determination, Oil & gas leases
PROJECT MANAGER- Land & Water Infrastructure Dallas, TX | Hybrid $130,000–$150,000 + 15% Bonus A growing organization within the energy and infrastructure sector is seeking a Project Manager to lead complex land and wate…
Skills: Project Management, Land Acquisition, Water Rights, Right-of-way, Permitting
COMPANY OVERVIEW KKR is a leading global investment firm that offers alternative asset management as well as capital markets and insurance solutions. KKR aims to generate attractive investment returns by following a pati…
Skills: Asset Management, Special Servicing, Commercial Real Estate Debt, Financial Modeling, Underwriting
Associate General Counsel, Commercial and Business Development
Dallas, Texas, United States · On-site
Senior$1.9B raised
Basic Function HF Sinclair is seeking a Senior Counsel, Commercial & Business Development in Dallas, TX. In this role, you will provide legal support for HF Sinclair’s downstream and midstream operations, as well as busi…
Skills: Commercial contracts, Mergers and acquisitions, Joint ventures, Energy sector law, Risk management
Senior Manager, Supply Chain Governance Mattr Corp. is a global, $1 Billion+ company serving critical infrastructure, energy and transportation markets through two reporting segments: Composite Technologies and Connectio…
Why Harvey At Harvey, we’re transforming how legal and professional services operate. By combining frontier agentic AI, an enterprise-grade platform, and deep domain expertise, we’re reshaping how critical knowledge work…
Skills: Program management, Cross-functional leadership, Global operations, Entity formation, M&A integration
Why Harvey At Harvey, we’re transforming how legal and professional services operate. By combining frontier agentic AI, an enterprise-grade platform, and deep domain expertise, we’re reshaping how critical knowledge work…
Skills: Data analysis, Strategy consulting, Excel, Google Sheets, BI tools
Visitation Monitor Bilingual (Spanish) 1/3/5 Tues, Thurs, Sat, Sun (52407)
Dallas, Texas, United States · On-site
Mid level
Job DetailsJob Location: Dallas, TX 75235Position Type: Part TimeJob Shift: AnyJob Category: Nonprofit - Social ServicesOUR MISSION The Family Place empowers survivors of family violence by providing safe housing, counse…
Skills: Visitation supervision, Conflict de-escalation, Trauma-informed practice, Case management, Documentation
Visitation Monitor 2/4 Tues, Thurs, Sat, Sun (52406)
Dallas, Texas, United States · On-site
Mid level
Job DetailsJob Location: Dallas, TX 75235Position Type: Part TimeJob Category: Nonprofit - Social ServicesOUR MISSION The Family Place empowers survivors of family violence by providing safe housing, counseling, and skil…
Skills: Visitation supervision, Conflict de-escalation, Case management, Documentation, Trauma-informed practice
Selene Holdings is a multiple-lines business financial services firm with a mortgage servicing company, a loan diligence company, a title company, an insurance brokerage, and a real estate owned company. We have office l…
We are seeking a highly skilled and motivated Senior Corporate Counsel, Procurement, who will be responsible for providing legal support to the procurement department, assisting with vendor management, and ensuring that …
About Us Scorpion is the leading provider of technology and services helping local businesses thrive. We do this by helping customers understand local market dynamics, make the most of their marketing, and deliver experi…
About Us Scorpion is the leading provider of technology and services helping local businesses thrive. We do this by helping customers understand local market dynamics, make the most of their marketing, and deliver experi…
Skills: B2B sales, Full-cycle sales, Prospecting, Lead generation, Consultative selling
Carta
Counsel
Dallas, Texas, United States · On-site
$150k–$187k/yr
Senior$1.2B raised
The Company You’ll Join Carta is the connected platform and AI-native ecosystem for private capital. Built to replace fragmented tools with a single system of record, Carta brings together the software, services, and leg…
Description We are a fast-paced, high-volume personal injury law firm experiencing incredible growth and expansion. Our mission is to work hard and do right by our clients. We are seeking a professional and skilled Litig…
Skills: Litigation, Personal injury law, Trial experience, Negotiation, Deposition
Hi, we're Oscar. We're hiring an Associate, Risk / Compliance to join our Compliance team. Oscar is the first health insurance company built around a full stack technology platform and a relentless focus on serving our m…
Director Implementation Department: Platform Implementation Employment Type: Full Time Location: Remote - USA Compensation: $150,000 - $185,000 / year Description About Centerbase At Centerbase, we empower mid-size law f…
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Escrow Officer (Independence Title - Lakewood Office)
Dallas, Texas, United States · On-site
Senior
Independence Title Company in the Dallas-Fort Worth, Texas (Lakewood Office) area, a wholly owned subsidiary of Anywhere Integrated Services is seeking a seasoned Escrow Officer. Anywhere Integrated Services is a full-se…
Skills: Escrow processing, Closing documents, HUD preparation, CD preparation, Lender communication
Axiom
Corporate Paralegal - Dallas
Dallas, Texas, United States · On-site
$71k–$310k/yr
Senior+$28M raised
Join Our Team as a Corporate Paralegal at Axiom Location: Dallas We are currently seeking corporate governance paralegals to join our bench of fully vetted candidates working temporary secondments for our top F100 client…
Sign up with Clera and we'll reach out the moment a role actually fits you — no more spraying applications into the void.
$59k–$103k/yr
Full-time
high school, bachelor degree
Health insurance, Dental insurance, Vision insurance, Life insurance, Mental health benefits, Paid time off
Posted 6d ago
Apply by Oct 9
~40 hrs/week
Responsibilities
The Compliance Analyst will support the firm's adherence to regulatory requirements and internal policies by responding to field inquiries and conducting compliance testing. They will also manage vulnerable adult cases, review outside business activities, and provide training to internal partners.
Requirements
Candidates must have 1–3 years of broker-dealer compliance experience and hold FINRA Series 7 and Series 24 registrations. Strong analytical, communication, and problem-solving skills are required to navigate complex regulatory frameworks.
Full job description
The Broker Dealer (BD) Compliance team is responsible for making sure that the Firm’s policies and procedures are followed regarding the products, processes, procedures, and services offered.Our core function is to guide and advise our internal partners and field on the policies and procedures of the BD, as well as the rules and regulations of our highly regulated industry.We work in partnership to find solutions where possible to the challenges faced by our business partners and field force so that each can achieve their objectives in a compliant manner. And, when necessary, educate on the reasoning and risks when the desired answer is not possible.
This is a hybrid role, candidates must be located near an office hub: Dallas, TX.
What you will do:
Respond to inquiries from field and home office personnel to support compliance with applicable laws, regulations, and Firm policies and procedures.
Address emails and phone calls received through the Compliance Inbox and Compliance Hotline.
Review and process client accommodations requested by field partners.
Assist with Vulnerable Audit cases and potential exploitation cases in accordance with firm policy and FINRA Rules 2165 and 4512.
Assist the Information Security Team by providing Compliance support with incidents for the firm.
Respond to inquires from the field on various compliance topics including trades after death, operations questions, and beneficiary questions.
Review office-sharing arrangements to ensure alignment with regulatory and Firm requirements.
Stay up to date with training and current vulnerable adult topics to assist the firm and to train field offices when necessary. Identify and maintain risk areas for annual compliance training.
Monitor and test Firm policies and procedures based on risk levels.
Perform FINRA Rule 3120 and ad hoc testing on Compliance and Firm functions.
Deliver occasional training to field and home office personnel on compliance topics. Be open to cross training amongst all compliance areas to assist other groups when needed.
Review of Due Diligence meetings to ensure regulatory and firm requirements are met.
Review Outside Business Activity escalations and provide guidance on next steps.
Provide oversight of Outside Business Activities approved with conditions to help ensure adherence to those conditions.
Review and analyze individuals seeking to affiliate with the Firm.
Enter cases and supporting documentation into Firm-approved tools.
Stay informed on new regulations, policies, technologies, products, and related compliance implications.
Serve as a primary contact for Designated Principals, Registered Representatives, and internal partners such as Supervision, Resource Center, and Operations.
Participate in project work as needed.
What you need to have:
1–3 years of broker-dealer compliance experience.
FINRA Series 7 and Series 24 registrations required.
Knowledge of applicable regulations and interpretive guidance.
Understanding of industry best practices.
Strong problem-resolution skills.
Ability to conduct thorough analysis and apply practical, policy, and regulatory frameworks.
Excellent written and verbal communication skills.
Strong interpersonal and relationship-building skills.
Ability to prepare accurate and thorough written documentation.
Ability to manage multiple tasks proactively and meet deadlines.
Ability to work independently and collaboratively in a team environment.
Ability to manage workloads and support team priorities as needed.
High school diploma or equivalent required.
Nice to Have:
FINRA Series 4 and/or Series 53 preferred.
Experience with Microsoft Office, including Excel, Word, and PowerPoint; Salesforce experience preferred.
Bachelor’s degree preferred.
Compensation:
The base annual salary range for this role is $59,000 to $103,000, plus a competitive performance-based bonus. Baseannual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location.Baseannual salary may also differ significantly due to geography and cost of labor considerations.
What we give you in return:
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:
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+ 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.
About Cetera Financial Group:
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 an independent financial advisor network and 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 investment adviser services, practice management support and innovative technology.
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 the 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 ourWorkforce Privacy Policyfor further details on what information we collect and the purposes for collection.
We deliver tax-intelligent wealth management solutions for Financial Professionals.
Industry
Financial Services
Company size
501-1,000 employees
Founded
1983
Headquarters
Dallas, Texas
LinkedIn followers
28,720
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
How many Legal jobs are open in Dallas, TX right now?
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