Note: The job is a remote job and is open to candidates in USA. Cetera Financial Group is seeking a Compliance Analyst – Branch Exams to conduct audits of broker-dealer and advisory branch offices. The role assesses compliance with FINRA, SEC, state regulatory requirements, and firm policies; investigates audit exceptions, leads meetings, prepares audit reports, and supports process improvements in a fully remote environment with periodic travel.
Responsibilities
- Conduct compliance examinations of securities brokerage and advisory branch offices + Approximately 90% of exams are performed remotely + Up to 40% domestic travel may be required as business needs evolve
- Identify, research, and investigate potential audit exceptions
- Lead opening and closing meetings with branch personnel and leadership
- Prepare clear, well‑organized audit reports and supporting documentation
- Collaborate with Audit Managers and team members to improve processes, drive efficiencies, and enhance exam quality
- Apply regulatory knowledge to real‑world business scenarios with sound judgment and professionalism
Skills
- Active Series 7, 24, and 66 licenses *(or Series 63 and 65)*
- 5+ years of relevant experience in:
- Branch examinations or audits
- Broker‑dealer operations
- Securities or investment advisory compliance
- Ability to work independently in a remote, self‑directed environment
- Strong written and verbal communication skills
- Proficiency with Microsoft Office, including Word, Excel, Teams, and Outlook
- Bachelor's or Associate's degree in Business, Finance, Accounting, or Economics
- 10+ years of experience in financial services or a related field
- Prior experience working remotely and traveling regularly for business
- Comfortable leveraging AI‑enabled tools to improve efficiency and quality
- AI Prompt Engineering
Benefits
- Fully remote work arrangement
- A competitive performance-based bonus
Company Overview