Senior Compliance Analyst - Advertising Review

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. 

• →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.

• 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