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