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.

• What you will do
• :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 resource
• sEnsure compliance with firm policy by doing the following
• :Strive for consistency of your reviews on an ongoing basi
• sAssist in maintaining internal compliance materials such as manuals and reference materia
• lUnderstand workflow processes for different vendor
• sAssist other analysts and work as a member of team to complete assignment
• sComplete assignments within the service level agreement timeframe
• sOther duties as assigned

• .
• What you need to hav
• e:Bachelor’s degree or equivalent experien
• ceFive years relevant experience in advertising complian
• ceSeries 7, 24 & 63 FINRA registrations require
• d.Working knowledge of life insurance and annuity produc
• tsGeneral knowledge of advanced marketing concep
• tsOrganization skil
• lsMust possess both good written and verbal communication skil
• lsAbility to manage high volumes under tight deadlin

• es
• Compensatio
• n: The base annual salary range for this role is $85,000 to $100,000, 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 consideratio

ns.