Senior Compliance Analyst - Advertising Review
About The Position
Cetera Financial Group is seeking a Senior Compliance Analyst focused on advertising review. This remote role reviews retail communications to ensure compliance with firm policy and applicable FINRA and SEC rules. The analyst explains required changes to submitters, meets record-retention requirements, researches policy questions using firm manuals and other resources, and helps maintain consistency and compliance across review processes. The role also involves understanding vendor workflows, supporting other analysts, and completing assignments within service-level agreement timeframes. The base annual salary range is $85,000 to $100,000, plus a competitive performance-based bonus. Salary depends on factors such as skill set, experience, certifications, and location. For full-time roles, Cetera offers a benefits package that includes health, dental, vision, and life insurance; mental health benefits; paid time off, holidays, and wellness days; a 401(k) savings plan with a company contribution of up to 5%; paid parental and caregiver leave; health savings and flexible spending account options; an Employee Assistance Program, identity theft protection, pet insurance, and other voluntary benefits.
Requirements
- Bachelor’s degree or equivalent experience.
- Five years of relevant experience in advertising compliance.
- Required FINRA Series 7, 24, and 63 registrations.
- Working knowledge of life insurance and annuity products.
- General knowledge of advanced marketing concepts.
- Organizational skills.
- Good written and verbal communication skills.
- Ability to manage high volumes of work under tight deadlines.
Responsibilities
- Review retail communications against applicable laws, firm policy, and regulations.
- Explain the reasons for required changes to retail communications to submitters concisely and accurately.
- Ensure reviews meet record-retention requirements.
- Research policy questions using firm manuals and additional resources.
- Strive for consistency in reviews.
- Assist in maintaining internal compliance materials, including manuals and reference materials.
- Understand workflow processes for different vendors.
- Assist other analysts and work as part of a team to complete assignments.
- Complete assignments within service-level agreement timeframes.
- Perform other duties as assigned.
Benefits
- Competitive performance-based bonus.
- Health insurance.
- Dental insurance.
- Vision insurance.
- Life insurance.
- Mental health benefits.
- 20+ days of paid time off.
- Paid holidays.
- Two paid wellness days.
- 401(k) savings plan with company contribution of up to 5%.
- Paid parental leave.
- Health Savings Account and Flexible Spending Account options.
- Employee Assistance Program.
- Identity theft protection through LifeLock.
- Pet insurance.
- Paid caregiver leave.
- Other voluntary benefits.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
