About this role
Compliance Analyst - Broker Dealer at Cetera Financial Group Inc. Location: Dallas, Texas, United States. Role: review applicants, identify concerns, develop questions Requirements: 1-3 years in broker-dealer compliance; FINRA Series 7 & 24; high school diploma (Bachelor's preferred); strong regulatory knowledge and analytical skills. Category: Legal and Compliance Seniority: Mid Level Tools: Microsoft Excel, Microsoft Word, PowerPoint, Salesforce Certifications: finra series 7, finra series 24 Commitment: Full Time Workplace: Hybrid Languages: English