Senior Compliance Analyst - Advertising Review
Cetera•United States,
•$85,000 - $100,000•Remote
About The Position
Cetera Financial Group is currently seeking a Senior Compliance Analyst for Ad Review. This role is responsible for ensuring that all retail communication complies with firm policy, FINRA, and SEC rules. This is a remote position.
Requirements
- Bachelor’s degree or equivalent experience
- Five years relevant experience in advertising compliance
- Series 7, 24 & 63 FINRA registrations required.
- Working knowledge of life insurance and annuity products
- General knowledge of advanced marketing concepts
- Organization skills
- Good written and verbal communication skills
- Ability to manage high volumes under tight deadlines
Responsibilities
- Review retail communication against applicable laws, firm policy, and regulations.
- Explain the reasons for any needed changes to retail communication to the submitter in a concise and accurate manner.
- Ensure reviews meet record retention requirements.
- Research policy questions in provided firm manuals and additional resources.
- Ensure compliance with firm policy by striving for consistency of reviews on an ongoing basis.
- Assist in maintaining internal compliance materials such as manuals and reference material.
- Understand workflow processes for different vendors.
- Assist other analysts and work as a member of a team to complete assignments.
- Complete assignments within the service level agreement timeframes.
- Perform other duties as assigned.
Benefits
- Inclusive health, dental, vision and life insurance plans
- Mental health benefits
- 20 plus days of paid time off (PTO)
- Paid holidays
- 2 paid wellness days
- 401(k) Savings plan with a generous company contribution (up to 5%)
- Access to a financial professional
- Paid parental leave
- Health Savings Account options
- Flexible Spending Account options
- Employee Assistance Program (EAP)
- LifeLock
- Pet Insurance
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
Associate degree
