Job details
Job type full-time
Full job description
Cetera financial group is currently seeking a srCompliance analyst for advertising reviewThis 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 standardsThis also includes federal and state insurance regulations as well as finra and sec rulesThis position will work in the areas of insurance and securitiesThis role can be based remotely.
Position title: sr Compliance analyst, advertising reviewCetera financial group is currently seeking a srCompliance analyst for advertising reviewThis 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 standardsThis also includes federal and state insurance regulations as well as finra and sec rulesThis position will work in the areas of insurance and securitiesThis role can be based remotely.
What we need:
Cetera financial group is currently seeking a srCompliance analyst for ad reviewThis 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 standardsThis also includes federal and state insurance regulations as well as finra and sec rulesThis position will work in the areas of insurance and securitiesThis role can be based remotely.
What you will you do:
Review retail communication against applicable laws and regulationsInterpret impact of laws on new and existing retail communicationCommunicate changes and important issues to affected business unit, field, and customersEffectively track retail communication using applicable methods and tools per industry/company record retention requirements.
Gets 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 neededThis 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 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
What we give you in return:
Our competitive health program offers a comprehensive benefits package that supports healthy lifestyles, preventative care and helps to protect against hardshipOur retirement plan offers our employees the opportunity to plan ahead for a strong financial future well beyond their working years.
About cetera financial group:
Cetera financial group â® (`cetera`) is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutionsCetera is an independent financial advisor network in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions.
Through its multiple distinct firms, cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirationsAdvisor 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 ` refers to the network of retail independent broker-dealers encompassing, among others, cetera advisors , cetera advisor networks , cetera financial institutions, cetera financial specialists , and first allied securities .
Cetera financial group is committed to providing an equal employment opportunity for all applicants and employeesFor us, this is the only acceptable way to do businessAccordingly, all employment decisions at the 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.sMilitary 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 teamWe will reach out to our preferred agency partners in the rare instance we require additional talent optionsYour respect for this process is appreciatedLease review our workforce privacy policy for further details on what information we collect and the purposes for collection.
About cetera financial groupâ®
Cetera financial group ⮠(`cetera`) is a leading financial advice firmIt empowers the delivery of an advice-centric experience⮠to individuals, families and businesses across the country through independent financial advisors as well as trusted tax professionals and banks and credit unionsIt’s headquartered at 200 nPacific coast highway, suite 1200 el segundo, ca 90245.
Comprehensive services include: wealth management solutions, retirement plan solutions, advisory services, practice management support, innovative technology, marketing guidance, regulatory support, and market research.
`cetera financial group` refers to the network of independent retail firms encompassing, among others, cetera advisors llc, cetera advisor networks llc, cetera investment services llc (marketed as cetera financial institutions or cetera investors), cetera financial specialists llc, and first allied securities, incAll firms are members finra / sipc.
Individuals affiliated with cetera firms are either registered representatives who offer only brokerage services and receive transaction-based compensation (commissions), investment adviser representatives who offer only investment advisory services and receive fees based on assets, or both registered representatives and investment adviser representatives, who can offer both types of services.
Cetera financial group is committed to providing an equal employment opportunity for all applicants and employeesFor us, this is the only acceptable way to do businessAccordingly, all employment decisions at the 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.sMilitary 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 teamWe will reach out to our preferred agency partners in the rare instance we require additional talent optionsYour respect for this process is appreciated.
Please review our workforce privacy policy for further details on what information we collect and the purposes for collection.
