About this role
Compliance Analyst - Broker Dealer at Cetera Financial Group Inc. Location: Dallas, Texas, United States. Role: responding inquiries, monitoring policies, performing testing Requirements: 1-3 years broker-dealer compliance experience; Series 7 and 24 registrations required; HS degree minimum (BA preferred); strong regulatory knowledge, analysis, written/verbal communication, and problem-resolution skills; MS Office and Salesforce preferred. Category: Legal and Compliance Seniority: Entry Level Tools: Microsoft Excel, Microsoft Word, Microsoft PowerPoint, Salesforce Certifications: series 7, series 24 Commitment: Full Time Workplace: Hybrid Languages: English