Cetera Financial Group is currently seeking a Compliance Analyst for Ad Review. This is a unique opportunity to join our team to ensure that all retail communication complies with state and federal laws, rules and regulations, and internal standards. This also includes Federal and State Insurance Regulations as well as FINRA and SEC Rules. This position will work in the areas of insurance and securities. This is a fully Remote role.
What You Will Do:
- Review retail communication against applicable laws and regulations. Interpret impact of laws on new and existing retail communication. Communicate changes and important issues to affected business unit, field, and customers. Effectively track retail communication using applicable methods and tools per industry/company record retention requirements.
- Involved in the following activities to ensure compliance with laws and regulations:
- Assists in researching, drafting, and /or reviewing insurance/securities products and/or advertising materials
- Correspond with applicable regulatory bodies for clarification of advertising regulations as needed. This may include the NAIC, state DOIs, SEC, or FINRA
- Assist in researching and responding to comments and/or inquiries received from state insurance departments or FINRA
- Assists in researching and responding to customer and/or producer inquiries about compliance issues.
- Manages subject matter expert review process to ensure materials are reviewed by all applicable individuals/units.
- Strives for consistency of the reviews on an ongoing basis to ensure reviews are performed consistently across the organization.
- Assist in maintaining internal compliance materials such as manuals, reference material, reports and website
- Other duties as assigned.
What You Need to Have:
- Bachelor’s degree or equivalent experience
- Three years relevant experience in compliance (advertising Compliance experience preferred)
- Series 7, 24 & 63 FINRA registrations required.
- Working knowledge of life insurance and annuity products
- General knowledge of advanced marketing concepts
- Good communications skills a must
- Ability to manage high volumes under tight deadlines
Compensation:
The base annual salary range for this role is $64,000 to $94,000, 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.
#LI -Remote
Skills Required
- Bachelor's degree or equivalent experience
- Three years relevant experience in compliance
- Advertising compliance experience
- Series 7, 24 & 63 FINRA registrations
- Working knowledge of life insurance and annuity products
- General knowledge of advanced marketing concepts
- Good communication skills
- Ability to manage high volumes under tight deadlines
Cetera Financial Group Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Cetera Financial Group and has not been reviewed or approved by Cetera Financial Group.
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Healthcare Strength — Health coverage is described as comprehensive, including medical, dental, vision, mental‑health support, and optional pet insurance. Feedback suggests the breadth of coverage is a relative strength.
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Leave & Time Off Breadth — Time off includes a sizable PTO allotment with paid holidays, a dedicated wellness day, and a paid volunteer day. Feedback suggests the time‑off package exceeds basic employer offerings.
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Retirement Support — Retirement support includes a 401(k) with company match and access to one‑on‑one financial planning. Feedback suggests the retirement program can be competitive, though specifics may depend on role or plan.
Cetera Financial Group Insights
What We Do
Cetera Financial Group empowers the delivery of professional financial advice to individuals, families and company retirement plans across the country. We support independent and institutions-based advisors, tax professionals, and bank and credit union investment programs, ensuring they have the objective research, regulatory guidance, technology, tools and resources they need to help them and their clients pursue their dreams for the future. While our multiple distinct firms allow us to customize how we serve the needs of each advisor and investment program, all are united through our exclusive Advice-Centric Experience™, which makes the delivery of financial insight and advice more efficient, more transparent, and more human. Cetera Financial Group” refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Advisor Networks LLC, Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors), Cetera Financial Specialists LLC, and First Allied Securities, Inc. All firms are members FINRA / SIPC. Individuals affiliated with Cetera firms are either Registered Representatives who offer only brokerage services and receive transaction-based compensation (commissions), Investment Adviser Representatives who offer only investment advisory services and receive fees based on assets, or both Registered Representatives and Investment Adviser Representatives, who can offer both types of services
