Remote Compliance Analyst - Ad Review & FINRA/SEC

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

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.