Compliance Analyst - Advertising Review

About the role

Cetera Financial Group is seeking a Compliance Analyst to join our team. This role ensures all retail communication complies with state and federal laws, rules, and regulations, as well as Federal and State Insurance Regulations and FINRA and SEC Rules. This is a fully remote position.

Responsibilities

• 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 units, 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.
• Aid in researching and responding to comments and/or inquiries received from state insurance departments or FINRA.
• Aid in researching and responding to customer and/or producer inquiries about compliance issues.
• Manage subject matter expert review process to ensure materials are reviewed by all applicable individuals/units.
• Strive for consistency of the reviews on an ongoing basis to ensure reviews are performed consistently across the organization.
• Aid in maintaining internal compliance materials such as manuals, reference material, reports and website.
• Assist in other duties as assigned.

Requirements

• 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.

Qualifications

• Not specified.

Skills

• Not specified.

Benefits

• Base annual salary range for this role is $64,000 to $94,000, plus a competitive performance-based bonus.
• Compensation depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location.
• Includes: Inclusive health, dental, vision, and life insurance plans; easy access to mental health benefits; 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days; 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.
• 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.

Pay

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.

Schedule

This is a fully Remote role.

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); and 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. Agencies please note: this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.