Compliance Analyst - Advertising Review
At a glance
Mid-level role at Candidate Experience site (CX). Remote, United States · full-time · $64,000–$94,000 base.
remoteroles summary, based on the employer's posting.
What you'll do
- Review customer-facing materials for compliance with applicable rules and company standards
- Explain how rule changes affect current and proposed communications, then brief affected teams, field staff and customers
- Maintain review records under retention requirements and oversee input from all required subject-matter reviewers
- Research advertising questions and help draft or assess insurance and securities materials
- Respond to regulatory, customer and producer inquiries, and maintain internal compliance references and guidance
What you bring
- A bachelor's degree or comparable experience, with at least three years working in compliance
- You need FINRA Series 7, 24 and 63 registrations
- Familiarity with life coverage and annuity products
Who this fits
This fully remote U.S. role suits someone focused on advertising compliance across insurance and securities. You should be comfortable managing a high volume of work under tight deadlines and communicating compliance issues clearly.
From the employer
Description
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.
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