Senior Compliance Analyst - Advertising Review

Cetera Financial Group; EE. UU.; A distancia; USD 85.000 - 100.000; Jornada completa

Descripción de la vacante

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).

Formación

• 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.

Responsabilidades

• 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.

Conocimientos

5+ years experience

Strong communication

High-volume deadlines

Educación

Bachelor’s degree or equivalent

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
• 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.