Compliance Analyst - Advertising Review

Cetera Financial Group is seeking a Compliance Analyst for Ad Review to ensure all retail communication complies with state and federal laws, rules, and regulations, including Federal and State Insurance Regulations, FINRA, and SEC Rules. This fully remote role focuses on insurance and securities compliance.

Responsibilities

• Review retail communication against applicable laws and regulations.
• Interpret the impact of laws on new and existing retail communication.
• Communicate changes and important issues to affected business units, field, and customers.
• Track retail communication using applicable methods and tools per industry/company record retention requirements.
• Assist in researching, drafting, and/or reviewing insurance/securities products and/or advertising materials.
• Correspond with regulatory bodies (e.g., NAIC, state DOIs, SEC, FINRA) for clarification of advertising regulations.
• Research and respond to comments/inquiries from state insurance departments or FINRA.
• Assist in addressing customer and/or producer inquiries about compliance issues.
• Manage the subject matter expert review process to ensure materials are reviewed by all applicable individuals/units.
• Strive for consistency in reviews to ensure uniformity across the organization.
• Assist in maintaining internal compliance materials such as manuals, reference material, reports, and websites.
• Perform other duties as assigned.

Requirements

• Bachelor’s degree or equivalent experience.
• Three years of relevant experience in compliance (advertising compliance experience preferred).
• Series 7, 24, and 63 FINRA registrations required.
• Working knowledge of life insurance and annuity products.
• General knowledge of advanced marketing concepts.
• Strong communication skills.
• Ability to manage high volumes under tight deadlines.

Pay

The base annual salary range for this role is $64,000 to $94,000, plus a competitive performance-based bonus. Salary depends on factors such as skill set, experience, certifications, and location.