Compliance Analyst - Advertising Review
About The Position
Cetera Financial Group is seeking a Compliance Analyst for advertising review, working in insurance and securities. This fully remote role helps ensure retail communications comply with applicable state and federal laws, rules, regulations, and internal standards, including Federal and State Insurance Regulations and FINRA and SEC rules. The role reviews retail communications, interprets regulatory impacts, communicates important changes, and tracks materials according to industry and company record-retention requirements. The analyst also supports research, drafting, and review of insurance and securities products and advertising materials; communicates with regulatory bodies when clarification is needed; and helps respond to inquiries from regulators, customers, and producers. The position manages subject matter expert reviews, promotes consistent review practices, and maintains internal compliance materials such as manuals, reference materials, reports, and website content.
Requirements
- Bachelor’s degree or equivalent experience.
- Three years of relevant compliance experience.
- FINRA Series 7, 24, and 63 registrations required.
- Working knowledge of life insurance and annuity products.
- General knowledge of advanced marketing concepts.
- Good communication skills.
- Ability to manage high volumes of work under tight deadlines.
Nice To Haves
- Advertising compliance experience preferred.
Responsibilities
- Review retail communications against applicable laws and regulations.
- Interpret the impact of laws on new and existing retail communications.
- Communicate changes and important issues to affected business units, field personnel, and customers.
- Track retail communications using applicable methods and tools in accordance with industry and company record-retention requirements.
- Assist in researching, drafting, and/or reviewing insurance and securities products and advertising materials.
- Correspond with regulatory bodies, including the NAIC, state Departments of Insurance, SEC, or FINRA, for clarification of advertising regulations as needed.
- Assist in researching and responding to comments and inquiries from state insurance departments or FINRA.
- Assist in researching and responding to customer and producer inquiries about compliance issues.
- Manage the subject matter expert review process to ensure materials are reviewed by all applicable individuals and units.
- Promote consistency in reviews across the organization.
- Assist in maintaining internal compliance materials, including manuals, reference materials, reports, and website content.
- Perform other duties as assigned.
Benefits
- Competitive performance-based bonus.
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What This Job Offers
Job Type
Full-time
