Remote Compliance Analyst - Ad Review (Finance & Insurance)

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 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.