Senior Technical Expert Risk & Controls

The Senior Technical Expert Risk & Controls is responsible for supporting Cetera’s Compliance and Supervision teams as the primary business liaison for risk technology platforms. This role requires deep expertise in risk controls, regulatory compliance, and stakeholder engagement, along with subject matter expertise in supervision tools to ensure Cetera’ s systems meet both regulatory requirements and business needs. 

This is a hybrid role located in Dallas, TX or Des Moines, IA. 

What you will do: 

• Serve as the primary business liaison and SME for key compliance and supervision platforms: 

  • Smarsh: coordinate with internal partners to request and implement archival of new content types; manage the Smarsh account platforms are updated as required to ensure message review and retention. Bi-weekly meetings with vendor CSM and account manager to address support issues, new content types and billing questions. 
  • Pinpoint Compliance WSPs platform – revise content as requested and maintain change control log; maintain historic versions of Cetera firms’ manuals. Escalate platform issues to applicable Cetera support team for remediation. 

  • Trade Review: revise alerts, generate alert parameter reports and manage exclusions alerts. 

• Collaborate with colleagues across the organization to evaluate and enhance the effectiveness of compliance and supervision tools, including: 
  • Troubleshoot system issues and coordinate timely resolutions to minimize disruptions. 
  • Improve, upgrade, and update compliance and supervision tools to ensure they are effectively aligned with the needs of the departments that rely on them. This includes fine-tuning lexicon policies and trade review alerts to ensure they meet regulatory and business requirements. 
• Support Cetera Legal and Compliance Shared Services teams during internal audits, regulatory exams, and compliance reviews by providing: 
  • Historic versions of supervisory manuals and WSP tracking logs for Cetera’s four broker dealers 

  • E-discovery exports of electronic communications

  • Lexicon policy reports 

  • Trade Review Alert reports 

What you need to have: 

• Bachelor’s degree in Risk Management, Finance, Business Administration, or related field. 
• 5 years of experience in risk management, compliance, supervision, internal controls, or audit within a brokerage firm, RIA or dually registered BD/RIA. 
• Active securities registrations are required, including FINRA Series 7, Series 24, Investment Adviser Representative (IAR), and other registrations as applicable to the role. 
  • FINRA Series 66 is a big plus
• Strong understanding of securities industry rules and regulations (e.g., SEC, FINRA). 
• Demonstrated expertise in compliance and supervision monitoring platforms.  
• Proven ability to influence cross-functional teams and senior stakeholders. 
• Excellent analytical, communication, and project management skills. 

Compensation: 

The base annual salary range for this role is $105,000 to $130,000, plus a competitive performance-based bonus.  Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. 

#LI-Hybrid 

Salary : $105,000 - $130,000