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Compliance Analyst - Branch Exams

Cetera Financial Group
Dallas, TX
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External Description Str : At Cetera we need detailed thinkers to help us ...
Details
Summary
About the job:
deliver quality and value to our clients. As an experienced analyst, you know how to uncover trends and tell meaningful stories through data. You collect, organize, and interpret information with ease and understand the impact your insights have on our business. We are currently seeking. The Senior Examiner conduct audits of branch offices to determine compliance with FINRA, SEC and State regulatory requirements, as well as firm policies and procedures. The Senior Examiner is pivotal to creating a partnership between...
Location:
Dallas, TX
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
FINRA Series 7
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Senior Analyst, Public Offerings

Financial Industry Regulatory Authority, Inc.
Dallas, TX
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The Senior Analyst in Corporate Financing Public Offerings is responsible ...
Details
Summary
About the job:
for analyzing complex and high-profile public offering transactions. The Senior Analyst reviews and investigates proposed public offering underwriting arrangements to ensure compliance with FINRA and SEC rules as well as other securities laws. This is intermediate-level professional work in which incumbents are performing their assigned roles, applying professional expertise, and working under limited supervision. Essential Job Functions: - Ensures underwriting compensation is adequately valued, within FINRA guidelines,...
Location:
Dallas, TX
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information
1

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Location: Dallas
(Radius: Exact location only)
Job Type: Full-time
Salary: Six Figures Jobs ($100K+)
Occupation: Financial Examiners
Industry: Management of Companies and Enterprises
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