Cetera Financial Group is currently seeking a Compliance Analyst for Ad Review.
This is a unique opportunity to join our team to ensure that all retail
communication complies with state and federal laws, rules and regulations, and
internal standards. This also includes Federal and State Insurance Regulations
as well as FINRA and SEC Rules. This position will work in the areas of
insurance and securities. This is a fully Remote role.
What You Will Do:
Review retail communication against applicable laws and regulations.
Interpret impact of laws on new and existing retail communication.
Communicate changes and important issues to affected business unit, field,
and customers. Effectively track retail communication using applicable
methods and tools per industry/company record retention requirements.
Involved in the following activities to ensure compliance with laws and
regulations:
Assists in researching, drafting, and /or reviewing insurance/securities
products and/or advertising materials
Correspond with applicable regulatory bodies for clarification of
advertising regulations as needed. This may include the NAIC, state DOIs,
SEC, or FINRA
Assist in researching and responding to comments and/or inquiries received
from state insurance departments or FINRA
Assists in researching and responding to customer and/or producer inquiries
about compliance issues.
Manages subject matter expert review process to ensure materials are
reviewed by all applicable individuals/units.
Strives for consistency of the reviews on an ongoing basis to ensure
reviews are performed consistently across the organization.
Assist in maintaining internal compliance materials such as manuals,
reference material, reports and website
Other duties as assigned.
What You Need to Have:
Bachelor’s degree or equivalent experience
Three years relevant experience in compliance (advertising Compliance
experience preferred)
Series 7, 24 & 63 FINRA registrations required.
Working knowledge of life insurance and annuity products
General knowledge of advanced marketing concepts
Good communications skills a must
Ability to manage high volumes under tight deadlines
Compensation:
The base annual salary range for this role is $64,000 to $94,000, 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
About Us
What we give you in return:
Not many teams can say that they support people’s dreams coming to life. We
happen to do that every day. And as important as we know your career is, we
recognize that there’s a whole lot more to life. To ensure that our employees
can make the most of their time outside of working hours, we offer a competitive
salary and for full-time roles, a benefits package including:
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+ 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
fostering.
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.
Paid caregiver leave to provide time away from work when caring for an ill or
recovering family member.
Additional benefits such as an Employee Assistance Program (EAP), identity
theft protection (LifeLock), pet insurance, and other voluntary benefits to
provide extra peace of mind
About Cetera
Cetera Financial Group [https://cetera.com/]® (Cetera) is a leading network of
independent retail broker-dealers and registered investment advisers empowering
the delivery of objective financial advice to individuals, families, and company
retirement plans across the country through trusted financial advisors and
financial institutions. Cetera is one of the largest independent financial
advisor networks in the nation and a leading provider of retail services to the
investment programs of banks and credit unions.
Advisor support resources offered through Cetera include award-winning wealth
management and advisory platforms, comprehensive broker-dealer and registered
investment adviser services, practice management support, and innovative
technology.
Cetera Financial Group (Cetera) is a network of independent retail firms,
including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera
Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera
Investment Services LLC (marketed as Cetera Financial Institutions or Cetera
Investors); and Cetera Financial Specialists LLC. Entities registered as
investment advisers with the Securities and Exchange Commission include Cetera
Investment Management LLC and Cetera Investment Advisers LLC. Cetera's principal
office is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101. Avantax
Planning Partners, Inc. is an SEC registered investment adviser within the
Aretec Group, Inc. (dba Cetera Holdings, an affiliate of Cetera). All the
referenced entities are under common ownership.
Cetera Financial Group is committed to providing an equal employment opportunity
for all applicants and employees. For us, this is the only acceptable way to do
business. Accordingly, all employment decisions at Cetera Financial Group,
including those relating to hiring, promotion, transfers, benefits,
compensation, and placement, will be made without regard to race, color,
ancestry, national origin, citizenship, age, physical and/or mental disability,
medical condition, pregnancy, genetic characteristics, religion, religious dress
and/or grooming, gender, gender identity, gender expression, sexual orientation,
marital status, U.S. military status, political affiliation, or any other class
protected by state and/or federal law.
Agencies please note: this recruitment assignment is being managed directly by
Cetera’s Talent Acquisition team. We will reach out to our preferred agency
partners in the rare instance we require additional talent options. Your respect
for this process is appreciated.
Please review our Workforce Privacy Policy
[https://www.cetera.com/uploads/07/12/workforce_privacy_policy.pdf] for further
details on what information we collect and the purposes for collection.