Senior Compliance Analyst - Advertising Review

• Posted 5 days ago • Updated 13 hours ago

Full Time

USD $85,000.00 - 100,000.00 per year

Cetera Financial Group, Inc.

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Job Details

Skills

Finance
SEC
Retail
Research
SAP BASIS
Workflow
SLA
Advertising
Regulatory Compliance
Life Insurance
Annuities
Marketing
Communication
Management

Summary

Job Description

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 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.

#LI-Remote

Employers have access to artificial intelligence language tools (“AI”) that help generate and enhance job descriptions and AI may have been used to create this description. The position description has been reviewed for accuracy and Dice believes it to correctly reflect the job opportunity.

Dice Id: RTX1a6d2c
Position Id: 6198
Posted 5 days ago

Company Info

About Cetera Financial Group, Inc.

Advancing What's Next

Cetera Financial Group, Inc. is transforming how advisors guide individuals and families to achieve financial well-being at every stage of their lives.

We’re enablers. Mentors. Dream builders. Our purpose is to turn financial aspirations into reality. Within our community lies a vibrant wellspring of growth and opportunity for financial professionals, financial institutions, and individual investors alike. As a premier financial services firm, we don’t just deliver financial technology, bespoke guidance, research and market intelligence, and collaborative client-service platforms. We build environments where ideas thrive, connections flourish, and ambitions become remarkable achievements. Driven to deliver unwavering support and innovative solutions to help people live their purpose, we empower each other and the communities around us to bring a stronger tomorrow to life.

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