Compliance Analyst Compliance Analyst …

Cetera Financial Group
in San Diego, CA, United States
Permanent, Full time
Be the first to apply
Cetera Financial Group
in San Diego, CA, United States
Permanent, Full time
Be the first to apply
Compliance Analyst
Sr. Compliance Analyst AR

Position Title: Compliance Analyst - Ad Review, Cetera Financial Group

What 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 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.  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 assigned
What you need to have:
  • Bachelors 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 hardship. Our 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 ("Cetera") is a leading network of independent firms empowering the delivery of professional financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is the second-largest 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 aspirations. Advisor 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. For more information, visit .

Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, 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.S. military status, political affiliation, or any other class protected by state and/or federal law.

Primary Location: US-CA-San Diego
Work Locations:
Job: Risk Management
Organization: Cetera Financial Group
Schedule: Full-time
Job Posting: Nov 4, 2019, 4:37:09 PM