Hiring: Senior Compliance Analyst - Regulatory Exams Company: Cetera Financial Group Location: Dallas, TX Job Posted Time: 2026-09-13 13:20:18 Employment Type: Full-time / Hybrid Target Skills & Keywords : Microsoft Excel, Project Management, Series 7, Wealth Management About the job Experience: •3+ years of experience working in broker/dealer or investment adviser compliance and/or regulatory affairs, with progressively increasing responsibilities. Required Skills: •This is a hybrid role based in Dallas, Texas. •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. •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. Qualifications: •Prior work as a regulator •Bachelor's degree in finance or a related field or equivalent. Compensation: •$82,000 - $117,000 / year •The base salary range for this role in Dallas, TX is $82,000 to $117,000, plus a competitive performance-based bonus 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!