Senior Compliance Analyst - Advertising Review

Cetera; Oregon; Híbrido; USD 85.000 - 100.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Health, dental, vision insurance

Paid time off

401(k) with company match

Parental leave

Mental health benefits

Employee assistance programs

Descripción de la vacante

Cetera Financial Group is seeking a Senior Compliance Analyst for Ad Review to ensure retail communications comply with firm policy, FINRA, and SEC rules. This is a remote role within the United States.

You will review communications, explain changes to submitters concisely, maintain records, and support policy questions using firm manuals. Strong knowledge of advertising compliance and FINRA registrations are required, with attention to deadlines and teamwork.

Formación

• Bachelor's degree or equivalent experience.
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Responsabilidades

• Review retail communications against applicable laws, firm policy, and regulations.
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Conocimientos

Advertising compliance

Written communication

Verbal communication

Organization

Deadline management

Educación

Bachelor's degree or equivalent experience

Descripción del empleo

Cetera Financial Group is currently seeking a Senior Compliance Analyst for Ad Review. This is a great opportunity to join our team and ensure that all retail communication complies with firm policy, FINRA, and SEC rules. This is a remote role.

What you will do:

• Review retail communication against applicable laws, firm policy, and regulations.
• Be able to explain the reasons for any needed changes to retail communication to the submitter in a concise and accurate manner.
• Ensure your reviews are meeting record retention requirements.
• Research policy questions in the provided firm manuals and additional resources
• Ensure compliance with firm policy by doing the following:
  • Strive for consistency of your reviews on an ongoing basis
  • Assist in maintaining internal compliance materials such as manuals and reference material
  • Understand workflow processes for different vendors
  • Assist other analysts and work as a member of team to complete assignments
  • Complete assignments within the service level agreement timeframes
• Other duties as assigned.

What you need to have:

• Bachelor's degree or equivalent experience
• Five years relevant experience in advertising compliance
• Series 7, 24 & 63 FINRA registrations required.
• Working knowledge of life insurance and annuity products
• General knowledge of advanced marketing concepts
• Organization skills
• Must possess both good written and verbal communication skills
• Ability to manage high volumes under tight deadlines

Compensation:

The base annual salary range for this role is $85,000 to $100,000, 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.

About Us

Not many teams can say that they support people's dreams coming to life. We happen to do that every day. And as important as we know your career is, we recognize that there's a whole lot more to life. To ensure that our employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:

What we give you in return:

• Inclusive health, dental, vision, and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and fostering.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
• Paid caregiver leave to provide time away from work when caring for an ill or recovering family member.
• Additional benefits such as an Employee Assistance Program (EAP), identity theft protection (LifeLock), pet insurance, and other voluntary benefits to provide extra peace of mind

About Cetera

Cetera Financial Group® (Cetera) is a leading network of independent retail broker-dealers and registered investment advisers empowering the delivery of objective financial advice to individuals, families, and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation and a leading provider of retail services to the investment programs of banks and credit unions.Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology.Cetera Financial Group (Cetera) is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors); Cetera Financial Specialists LLC. Entities registered as investment advisers with the Securities and Exchange Commission include Cetera Investment Management LLC and Cetera Investment Advisers LLC. Cetera's principal office is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101. Avantax Planning Partners, Inc. is an SEC registered investment adviser within the Aretec Group, Inc. (dba Cetera Holdings, an affiliate of Cetera). All the referenced entities are under common ownership.

Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.