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
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.
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