Compliance Analyst – Branch Exams

🕒 August 27

🌲 Oregon – Remote

🌲 Oregon – Remote

💵 $85k - $95k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

👻 Ghost score 20%

What it means: how likely this posting is sitting open without active hiring.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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CETERA

WebsiteLinkedInAll Job Openings

2 - 10 employees

Founded 2021

💸 Finance

🤝 B2B

☁️ SaaS

Finance • B2B • SaaS

CETERA is a wealth-management and financial services platform that provides broker-dealer, advisory, technology and practice-management solutions to independent financial advisors, registered investment advisers, tax and accounting professionals, and financial institutions. The company emphasizes B2B partnership models—white-glove onboarding, proprietary client-facing platforms, marketing and growth programs, and operational support—designed to help advisors transition assets, scale their businesses, and enhance client engagement. Cetera positions itself as a growth-focused partner and a technology-enabled “wealth hub” rather than a consumer-facing retail firm.

📋 Description

• Conduct compliance examinations of securities brokerage and advisory branch offices • Perform approximately 90% of exams remotely • Travel domestically up to 40% 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 • Report directly to an Audit Manager

🎯 Requirements

• 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, or securities/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

🏖️ Benefits

• Competitive performance-based bonus • Fully remote work arrangement • Periodic domestic travel