Note: The job is a remote job and is open to candidates in USA. Cetera Financial Group is currently seeking a Senior Compliance Analyst for Ad Review. This role involves ensuring that all retail communication complies with firm policy, FINRA, and SEC rules, while reviewing and explaining necessary changes to retail communication.
Responsibilities
- 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
Skills
- 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
Benefits
- Plus a competitive performance-based bonus
- Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
- Easy access to mental health benefits to meet our team members and their families where they are.
- 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
- 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
- Paid parental leave to support all team members with birth, adoption, and foster.
- Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
- Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
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