Remote Senior Compliance Analyst — Ad Review Specialist

Cetera Financial Group; United States; Remote; USD 85,000 - 100,000; Full time

Job summary

Cetera Financial Group is seeking a Senior Compliance Analyst for Ad Review to ensure that retail communications comply with firm policy, FINRA, and SEC rules. This is a remote role based in the United States, with responsibilities spanning review, explanation of changes, and records retention.

The ideal candidate has a bachelor’s degree or equivalent, at least five years in advertising compliance, and FINRA registrations (Series 7, 24, and 63).

Qualifications

• Bachelor’s degree or equivalent experience.
• 5+ years relevant experience in advertising compliance.
• FINRA registrations: Series 7, 24 & 63 required.
• Knowledge of life insurance and annuity products.
• General knowledge of advanced marketing concepts.
• Excellent written and verbal communication skills.
• Ability to manage high volumes under tight deadlines.

Responsibilities

• Review retail communications for compliance with laws, firm policy, FINRA and SEC rules.
• Explain changes to submitter concisely and accurately.
• Maintain records to meet retention requirements.
• Research policy questions using firm manuals and resources.
• Ensure consistency and improve internal compliance materials.
• Understand workflows with vendors and assist team members.
• Complete assignments within SLA timeframes.
• Perform other duties as assigned.

Skills

5+ years experience

Strong communication

High-volume deadlines

Education

Bachelor’s degree or equivalent

Job description

Cetera Financial Group is seeking a Senior Compliance Analyst for Ad Review to ensure that retail communications comply with firm policy, FINRA, and SEC rules. This is a remote role based in the United States, with responsibilities spanning review, explanation of changes, and records retention.

The ideal candidate has a bachelor’s degree or equivalent, at least five years in advertising compliance, and FINRA registrations (Series 7, 24, and 63).