Remote Compliance Analyst, Ad Review & Regulation

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

Job summary

Cetera Financial Group is seeking a Compliance Analyst for Ad Review. This fully remote role focuses on ensuring that retail communications comply with state and federal laws, FINRA and SEC rules, and internal standards, across life insurance and annuity products.

The role involves reviewing materials, researching regulatory requirements, and communicating changes to affected units while maintaining documentation and responding to inquiries from regulators and customers.

Qualifications

• 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.

Responsibilities

• Review retail communications for compliance with state and federal laws, rules, and internal standards.
• Interpret impact of laws on new and existing materials and communicate changes to business units, field, and customers.
• Research, draft, and review insurance/securities products and advertising materials as needed.
• Correspond with regulatory bodies (NAIC, state DOIs, SEC, FINRA) for clarification of advertising regulations.

Skills

Compliance

Regulatory knowledge

Communication skills

Education

Bachelor's degree or equivalent experience

Job description

Cetera Financial Group is seeking a Compliance Analyst for Ad Review. This fully remote role focuses on ensuring that retail communications comply with state and federal laws, FINRA and SEC rules, and internal standards, across life insurance and annuity products.

The role involves reviewing materials, researching regulatory requirements, and communicating changes to affected units while maintaining documentation and responding to inquiries from regulators and customers.