About this role
Senior Compliance Analyst - Regulatory Exams at Cetera Financial Group Inc. Location: Dallas, Texas, United States. Role: Coordinate examinations, Prepare responses to regulator requests, Analyze regulatory data and trends Requirements: 3+ years in broker/dealer or investment adviser compliance; extensive FINRA/SEC/MSRB knowledge; Series 7 & 24; Excel proficiency; strong communication; flexible and adaptable; bachelor’s in finance or related field preferred Category: Legal and Compliance Seniority: Mid Level Tools: Microsoft Excel, Regulatory reporting tools Certifications: series 7, series 24, series 65/66 () Commitment: Full Time Workplace: Hybrid Languages: English