Oracle Cloud ERP · 2 months ago
Compliance Analyst - Advertising Review
United States
Full-time
Remote
Mid Level
$62K/yr - $91K/yr
3+ years expCetera Financial Group is currently seeking a Compliance Analyst for Ad Review. This role is responsible for ensuring that all retail communication complies with state and federal laws, rules and regulations, and internal standards, particularly in the areas of insurance and securities.
Information Technology & Services
Responsibilities
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 adverting 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
Qualification
Required
Bachelor's degree or equivalent experience
Three years relevant experience in compliance (advertising Compliance experience preferred)
Series 7 & 24 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
Benefits
Competitive performance-based bonus
Company
Oracle Cloud ERP
Oracle Cloud ERP is a software as a service, SaaS, solution for businesses to control and manage multiple facets of their business.
10001+ employees
Funding
Current Stage
Late StageCompany data provided by crunchbase