Senior Compliance Analyst - Advertising Review jobs in United States
info-icon
This job has closed.
company-logo

Cetera Financial Group · 1 month ago

Senior Compliance Analyst - Advertising Review

positionUnited States
timeFull-time
remoteRemote
seniorityMid, Senior Level
money$73K/yr - $126K/yr
date5+ years exp

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, and requires reviewing communications and providing necessary feedback.

AdviceFinancial ServicesRetailRetirementWealth Management

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

Qualification

Advertising complianceSeries 7 registrationSeries 24 registrationLife insurance knowledgeAnnuity products knowledgeAdvanced marketing conceptsDeadline managementOrganization skillsWritten communicationVerbal communication

Required

Bachelor's degree or equivalent experience
Five years relevant experience in advertising compliance
Series 7 & 24 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

Competitive performance-based bonus

Company

Cetera Financial Group

twittertwittertwitter
Glassdoor3.4
company-logo
Cetera Financial Group is a privately-held, independent broker-dealer and investment adviser families.
dateFounded in 2010
location
San Diego, California, USA
people-size1001-5000 employees
web-link
http://www.cetera.com

Funding

Current Stage
Late Stage
Total Funding
unknown
Key Investors
Genstar Capital
2023-10-04Private Equity
2018-07-17Acquired

Leadership Team

leader-logo
Michael Durbin
Chief Executive Officer
linkedin
leader-logo
Dan Burkott
Chief Compliance Officer - Tax Channel
linkedin

Recent News

PR Newswire
Cetera Announces Acquisition of Darnall Sikes Wealth Partners
2026-01-22
PR Newswire
Cetera Chief Operating Officer Tom Gooley to Retire Following Planned Transition
2026-01-07
Investment News
Cetera COO Tom Gooley to retire in planned leadership transition
2026-01-07
Company data provided by crunchbase