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 compliance examinations of broker-dealer and advisory branch offices. The role will investigate audit exceptions, lead meetings, prepare audit reports, and collaborate with Audit Managers to improve examination processes and quality in a fully remote environment with periodic domestic 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

• Competitive performance-based bonus
• Fully remote work arrangement

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