Review and approve retail advertising and communications for compliance with federal/state insurance rules, FINRA and SEC regulations. Research and draft guidance, respond to regulator inquiries, manage SME review processes, maintain compliance materials, and communicate regulatory impacts to business units.
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.
#LI -Remote
Cetera Financial Group Denver, Colorado, USA Office
Denver, United States, 00000
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Review and approve retail advertising and communication for compliance with federal/state insurance and securities laws (FINRA/SEC), manage regulatory correspondence, coordinate subject-matter reviewers, track records, maintain compliance materials, and respond to regulator, customer, and producer inquiries.
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