Compliance Analyst - Advertising Review

Cetera • United States,

1d • $64,000 - $94,000 • Remote

About The Position

Cetera Financial Group is seeking a Compliance Analyst for Ad Review to ensure that all retail communication complies with state and federal laws, rules and regulations, and internal standards. This includes Federal and State Insurance Regulations as well as FINRA and SEC Rules. This position will work in the areas of insurance and securities. This is a fully Remote role.

Requirements

• Bachelor’s degree or equivalent experience
• Three years relevant experience in compliance (advertising Compliance experience preferred)
• Series 7, 24 & 63 FINRA registrations required.
• Working knowledge of life insurance and annuity products
• General knowledge of advanced marketing concepts
• Good communications skills a must
• Ability to manage high volumes under tight deadlines

Nice To Haves

• advertising Compliance experience preferred

Responsibilities

• Review retail communication against applicable laws and regulations.
• Interpret impact of laws on new and existing retail communication.
• Communicate changes and important issues to affected business unit, field, and customers.
• Effectively track retail communication using applicable methods and tools per industry/company record retention requirements.
• Assists in researching, drafting, and /or reviewing insurance/securities products and/or advertising materials.
• Correspond with applicable regulatory bodies for clarification of advertising regulations as needed. This may include the NAIC, state DOIs, SEC, or FINRA.
• Assist in researching and responding to comments and/or inquiries received from state insurance departments or FINRA.
• Assists in researching and responding to customer and/or producer inquiries about compliance issues.
• Manages subject matter expert review process to ensure materials are reviewed by all applicable individuals/units.
• Strives for consistency of the reviews on an ongoing basis to ensure reviews are performed consistently across the organization.
• Assist in maintaining internal compliance materials such as manuals, reference material, reports and website.
• Other duties as assigned.

Benefits

• Inclusive health, dental, vision, and life insurance plans
• mental health benefits
• 20+ days of paid time off (PTO)
• paid holidays
• 2 paid wellness days
• 401(k) savings plan with a generous company contribution (up to 5%)
• Paid parental leave
• Health Savings Account options
• Flexible Spending Account options
• Employee Assistance Program (EAP)
• LifeLock
• Pet Insurance
• Paid caregiver leave

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree