Senior Compliance Analyst - Advertising Review

Cetera

6d • $85,000 - $100,000 • Remote

About The Position

Cetera Financial Group is currently seeking a Senior Compliance Analyst for Ad
Review. This is a great opportunity to join our team and ensure that all retail
communication complies with firm policy, FINRA, and SEC rules. This is a remote
role.

Requirements

• Bachelor’s degree or equivalent experience
• Five years relevant experience in advertising compliance
• Series 7 & 24 FINRA registrations required.
• Working knowledge of life insurance and annuity products
• General knowledge of advanced marketing concepts
• Organization skills
• Must possess both 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.
• Be able to explain the reasons for any needed changes to retail communication to the submitter in a concise and accurate manner.
• Ensure your reviews are meeting record retention requirements.
• Research policy questions in the provided firm manuals and additional resources
• Ensure compliance with firm policy by doing the following: Strive for consistency of your 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 team to complete assignments
• Complete assignments within the service level agreement timeframes
• Other duties as assigned.

Benefits

• Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and foster.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Number of Employees: 251-500 employees