Regulatory Exams Lead - Compliance & Regulatory Affairs
Cetera Financial Group
Cetera Financial Group is seeking a Sr. Compliance Analyst (Regulatory Exams) to support broker/dealer and registered investment adviser examinations. The role coordinates firm and branch level examinations by state and federal regulators, tracks findings, and communicates with regulators. Based in Dallas, TX, this hybrid role emphasizes regulatory liaison and remediation leadership. Ideal candidates have 3+ years in broker/dealer or investment adviser compliance, Series 7 and 24 registrations, #J-18808-Ljbffr Cetera Financial Group
Vacancy posted 1 day ago
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