Compliance Analyst - Advertising Review

Cetera Financial Group; United States; Remote; USD 64,000 - 94,000; Full time

Job summary

Cetera Financial Group seeks a Compliance Analyst for Ad Review to ensure retail communications meet state and federal laws, rules, and regulations. This remote role covers insurance and securities, including adherence to FINRA and SEC standards.

You will review materials, interpret regulatory impacts, and coordinate with regulatory bodies and business units to maintain compliant communications and materials across the organization.

Qualifications

• Bachelor’s degree or equivalent experience.
• Three years relevant 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 communications skills a must.

Responsibilities

• Review retail communication against applicable laws and regulations.
• Interpret impact of laws on new and existing retail communication.
• Communicate changes to affected business units, field, and customers.
• Effectively track retail communication using required methods and retention standards.
• Assist in researching, drafting, and reviewing insurance/securities materials.
• Correspond with regulatory bodies (NAIC, state DOIs, SEC, FINRA) for clarifications.

Skills

Communication skills

Compliance experience

Life insurance knowledge

FINRA licenses (Series 7/24/63)

Marketing concepts knowledge

Education

Bachelor’s degree or equivalent experience

Three years relevant compliance experience

Job 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