The Deputy Chief Compliance Officer, Broker Dealer Compliance at Cetera Financial Group is a pivotal role within the company's compliance department. This position is based in Dallas, Texas, and operates in a hybrid work environment, requiring occasional travel up to 15%. Cetera Financial Group is a leading network of independent retail broker-dealers, empowering financial advisors and institutions to deliver objective financial advice across the nation.

In this role, the Deputy Chief Compliance Officer will manage the daily operations of the Broker Dealer Compliance team. Key responsibilities include responding to compliance inquiries from the field, conducting pre-hire onboarding reviews, addressing escalated items from Supervision, Surveillance, and Branch Exams, and handling disciplinary matters. The position also involves coordinating policy and procedure updates with other Deputy CCOs, Supervision, and Compliance Shared Services to ensure consistency and compliance across Cetera firms.

Candidates should possess a bachelor's degree and have a minimum of eight years of experience in a Broker Dealer Compliance or Supervision role. A broad exposure to sales practice oversight, risk mitigation, recruiting, and retention is essential. Required certifications include FINRA Series 7 and 24. Applicants should have a strong understanding of FINRA and SEC rules and regulations, as well as industry best practices. The ability to identify and assess risks, interpret regulatory guidance, and communicate effectively with senior management and a diverse sales force is crucial.

The compensation for this role includes a base salary ranging from $161,000 to $200,000 per year, complemented by a competitive performance-based bonus. Additional benefits encompass health, dental, vision, and life insurance plans, paid time off, paid parental leave, and a 401(k) savings plan with a generous company contribution. Employees also have access to mental health benefits, pet insurance, and an Employee Assistance Program.

Cetera Financial Group fosters a culture that encourages ethical conduct and a commitment to compliance with applicable laws and regulations. The company offers growth opportunities and a collaborative environment, partnering effectively with financial advisors and internal departments to advance initiatives. This role provides a chance to influence change, navigate complex challenges, and contribute to the company's mission of delivering objective financial advice.