Senior Compliance Analyst - Regulatory Exams

The Sr. Compliance Analyst (Regulatory Exams) is responsible for supporting the network of Cetera Financial Group’s broker/dealer and registered investment advisers throughout the examination process. The Regulatory Exam Manager is responsible for coordinating all aspects of firm and branch level examinations by state or federal agencies, as well as industry regulators such as FINRA. They monitor and track findings through remediation and closure and serve as the primary liaison with regulators. By advising on regulatory requests, challenging preconceptions and assumptions, The Sr. Compliance Analyst ensures firm programs and policies are articulated in a positive and credible manner to regulators.