About this role
Senior Compliance Analyst - Regulatory Exams at Cetera Financial Group Inc. Location: Dallas, Texas, United States. Role: coordinating exams, managing remediation, liaising regulators Requirements: 3+ years broker/dealer or investment adviser compliance experience; broad knowledge of FINRA/SEC/MSRB rules; Series 7 & 24 required; Excel proficiency; strong written and verbal communication and critical thinking. Category: Finance and Accounting Seniority: Mid Level Tools: Microsoft Excel Certifications: series 7, series 24, finra registration, series 65, series 66 Commitment: Full Time Workplace: Hybrid Languages: English