Senior Compliance Analyst – Advertising Review
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Job Description
Senior Compliance Analyst reviewing retail communications for Cetera Financial Group, a network of independent financial advisors. Ensuring compliance with FINRA, SEC, and firm policies.
Responsibilities:
- Review retail communication against applicable laws, firm policy, and regulations
- Explain required changes to retail communication to submitters concisely and accurately
- Ensure reviews meet record retention requirements
- Research policy questions using firm manuals and additional resources
- Maintain consistency of reviews
- Assist in maintaining internal compliance manuals and reference materials
- Understand workflow processes for different vendors
- Assist other analysts and work as a team to complete assignments
- Complete assignments within service level agreement timeframes
- Perform other duties as assigned
Requirements:
- 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
- Good written and verbal communication skills
- Ability to manage high volumes under tight deadlines
Benefits:
- Inclusive health, dental, vision, and life insurance plans
- Mental health benefits
- 20+ days of paid time off (PTO)
- Paid holidays
- 2 paid wellness days
- 401(k) savings plan with company contribution up to 5%
- Access to a financial professional
- Paid parental leave
- Health Savings Account and Flexible Spending Account options
- Employee Assistance Program (EAP)
- LifeLock identity theft protection
- Pet insurance
- Paid caregiver leave
- Other voluntary benefits
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