Hiring: Compliance Analyst - Broker Dealer Company: Cetera Financial Group Location: Dallas-Fort Worth Metroplex Job Posted Time: 2026-09-12 13:20:18 Employment Type: Contract / Hybrid Target Skills & Keywords : Microsoft Excel, Microsoft Office, Microsoft PowerPoint, Salesforce, Series 24, Series 7 About the job Experience: •3 years of broker-dealer compliance experience. Required Skills: •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. Qualifications: •FINRA Series 4 and/or Series 53 preferred. •Bachelor’s degree preferred. Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!