Cetera Financial Group
Position Title: Compliance Analyst Ad Review, Cetera Financial GroupWhat we need:Cetera Financial Group is currently seeking a Ad Review Analyst.
This is a unique opportunity join our team to ensure that all advertising and sales literature complies with state and federal laws, rules and regulations, and internal standards.
This may include Federal and State Insurance Regulations as well as FINRA and SEC Rules.
This position will work in the area of insurance and securities.What you will do:Review advertising and sales literature against applicable laws and regulations.
Interpret impact of laws on new and existing advertising and sales literature.
Communicates changes and important issues to affected business unit, field and customers.
Effectively track advertising and sales literature 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 materialsCorrespond 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.
Assist 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 assignedWhat you need to have:Bachelor’s Degree or equivalent experienceThree years relevant experience in compliance (Advertising Compliance experience preferred).Series 7 & 24 FINRA registrations required.Working knowledge of life insurance and annuity productsGeneral knowledge of advanced marketing conceptsGood communications skills a must.Ability to manage high volumes under tight deadlinesWhat we give you inreturn:Our competitive Healthprogram offers a comprehensive benefits package that supports healthylifestyles, preventative care and helps to protect against hardship.
Ourretirement plan offers our employees the opportunity to plan ahead for a strongfinancial future well beyond their working years.Cetera Financial Group (Cetera) is a leading financialadvice firm.
It empowers the delivery of an Advice-Centric Experience® toindividuals, families and businesses across the country through independentfinancial advisors as well as trusted tax professionals and banks and creditunions.Comprehensiveservices include: wealth management solutions, retirement plan solutions,advisory services, practice management support, innovative technology,marketing guidance, regulatory support, and market research.” Cetera Financial Group” refersto the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Advisor NetworksLLC, Cetera Investment Services LLC (marketed as CeteraFinancial Institutions or CeteraInvestors), CeteraFinancial Specialists LLC, and First Allied Securities,Inc.
All firms are members FINRA / SIPC.Cetera Financial Group is committed to providing an equalemployment opportunity for all applicants and employees.
For us, this is theonly acceptable way to do business.
Accordingly, all employment decisions atthe Cetera Financial Group, including those relating to hiring, promotion,transfers, benefits, compensation, and placement, will be made without regardto race, color, ancestry, national origin, citizenship, age, physical and/ormental disability, medical condition, pregnancy, genetic characteristics, religion,religious dress and/or grooming, gender, gender identity, gender expression,sexual orientation, marital status, U.S.
military status, politicalaffiliation, or any other class protected by state and/or federal law.Please Note: Cetera does not accept unsolicited Agencyresumes.
Any unsolicited resumes received from Agencies will be consideredproperty of Cetera unless specifically requested by Human Resources.