Compliance Analyst - Advertising Review
About The Position
Cetera Financial Group is seeking a Compliance Analyst for Advertising Review. This fully remote role reviews retail communications for compliance with state and federal laws, rules, and regulations, as well as internal standards, including insurance regulations and FINRA and SEC rules. The position works across insurance and securities and helps interpret how regulatory changes affect new and existing communications, communicate relevant changes to affected groups, and track materials in accordance with record-retention requirements. The role also supports research, drafting, and review of insurance and securities product and advertising materials; correspondence with regulators; responses to regulatory, customer, and producer inquiries; and coordination of subject matter expert reviews. It helps maintain internal compliance resources and promotes consistent review practices across the organization.
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 with 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 with researching and responding to comments or inquiries from state insurance departments or FINRA.
- Assist with researching and responding to customer or 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 the website.
- Perform other duties as assigned.
Benefits
- Inclusive health, dental, vision, and life insurance plans.
- Mental health benefits.
- 20+ days of paid time off, paid holidays, and two paid wellness days.
- 401(k) savings plan with company contributions up to 5%.
- Access to a financial professional.
- Paid parental leave for birth, adoption, and fostering.
- Health Savings Account and Flexible Spending Account options.
- Employee Assistance Program.
- LifeLock identity theft protection.
- Pet insurance.
- Paid caregiver leave.
- Other voluntary benefits.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
