Compliance Analyst - Advertising Review

Cetera; Oregon; Hybrid; USD 64,000 - 94,000; Full time

Benefits offered by this job

Health insurance

Paid time off

401(k) plan

Parental leave

Life insurance

Job summary

Cetera Financial Group, a leading network of independent retail broker-dealers and registered investment advisers, is seeking a Compliance Analyst for Ad Review. This fully remote role focuses on ensuring retail communications comply with state and federal regulations, including FINRA and SEC rules, across insurance and securities products.

You will review materials, communicate updates, and coordinate with regulatory bodies while maintaining compliance materials and processes.

Qualifications

• Bachelor's degree or equivalent experience.
• Three years of experience in compliance (advertising compliance preferred).
• Series 7, 24 & 63 FINRA registrations required.
• Working knowledge of life insurance and annuity products.
• General knowledge of advanced marketing concepts.
• Good communication skills and ability to meet deadlines.

Responsibilities

• Review retail communications for compliance with laws and regulations.
• Communicate changes and issues to business units, field, and customers.
• Track retail communications using required record retention methods.
• Research, draft, and review insurance/securities products and materials.
• Correspond with regulatory bodies like NAIC, DOIs, SEC, or FINRA.
• Respond to inquiries from state departments or FINRA; manage SME reviews.
• Maintain internal compliance manuals and materials.

Skills

Advertising compliance

Regulatory knowledge

Communication skills

High-volume management

Education

Bachelor's degree or equivalent experience

Job description

Description

Cetera Financial Group is currently seeking a Compliance Analyst for Ad Review. This is a unique opportunity to join our team to ensure that all retail communication complies with state and federal laws, rules and regulations, and internal standards. This also includes Federal and State Insurance Regulations as well as FINRA and SEC Rules. This position will work in the areas of insurance and securities. This is a fully Remote role.

What You Will Do

• Review retail communication against applicable laws and regulations. Interpret impact of laws on new and existing retail communication. Communicate changes and important issues to affected business unit, field, and customers. Effectively track retail communication using applicable methods and tools per industry/company record retention requirements.
• Involved in the following activities to ensure compliance with laws and regulations:
• Assists in researching, drafting, and /or reviewing insurance/securities products and/or advertising materials
• Correspond with applicable regulatory bodies for clarification of advertising regulations as needed. This may include the NAIC, state DOIs, SEC, or FINRA
• Assist in researching and responding to comments and/or inquiries received from state insurance departments or FINRA
• Assists in researching and responding to customer and/or producer inquiries about compliance issues.
• Manages subject matter expert review process to ensure materials are reviewed by all applicable individuals/units.
• Strives for consistency of the reviews on an ongoing basis to ensure reviews are performed consistently across the organization.
• Assist in maintaining internal compliance materials such as manuals, reference material, reports and website
• Other duties as assigned.

What You Need to Have

• Bachelor's degree or equivalent experience
• Three years relevant experience in compliance (advertising Compliance experience preferred)
• Series 7, 24 & 63 FINRA registrations required.
• Working knowledge of life insurance and annuity products
• General knowledge of advanced marketing concepts
• Good communications skills a must
• Ability to manage high volumes under tight deadlines.

Compensation

The base annual salary range for this role is $64,000 to $94,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.

About Us

What we give you in return: Not many teams can say that they support people's dreams coming to life. We happen to do that every day. And as important as we know your career is, we recognize that there's a whole lot more to life. To ensure that our employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:

• 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+ 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 fostering.
• 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.
• Paid caregiver leave to provide time away from work when caring for an ill or recovering family member.
• Additional benefits such as an Employee Assistance Program (EAP), identity theft protection (LifeLock), pet insurance, and other voluntary benefits to provide extra peace of mind

About Cetera

Cetera Financial Group® (Cetera) is a leading network of independent retail broker-dealers and registered investment advisers empowering the delivery of objective financial advice to individuals, families, and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation and a leading provider of retail services to the investment programs of banks and credit unions. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology. Cetera Financial Group (Cetera) is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors); Cetera Financial Specialists LLC. Entities registered as investment advisers with the Securities and Exchange Commission include Cetera Investment Management LLC and Cetera Investment Advisers LLC. Cetera's principal office is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101. Avantax Planning Partners, Inc. is an SEC registered investment adviser within the Aretec Group, Inc. (dba Cetera Holdings, an affiliate of Cetera). All the referenced entities are under common ownership. Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.

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