Senior Compliance Analyst - Advertising Review

reputed company is currently seeking a Senior Compliance Analyst for Ad Review. This is a great opportunity to join reputed company and ensure that reputed company retail communication complies with firm policy, FINRA, and SEC rules. This is a remote role.

What you will do

• Review retail communication against applicable laws, firm policy, and regulations.

• Be able to explain the reasons for any needed changes to retail communication to the submitter in a concise and accurate manner.

• Ensure your reviews are meeting record retention requirements.

• Research policy questions in the provided firm manuals and additional resources

• Ensure compliance with firm policy by doing the following:

  • Strive for consistency of your reviews on an ongoing basis

  • Assist in maintaining internal compliance materials such as manuals and reference material

  • Understand workflow processes for different vendors

  • Assist other analysts and work as a member of team to complete assignments

  • Complete assignments reputed company the service level agreement timeframes

  • Other duties as assigned.

What you need to have

• Bachelor’s degree or equivalent experience

• Five years relevant experience in advertising compliance

• Series 7 & 24 FINRA registrations required.

• Working knowledge of life insurance and annuity products

• General knowledge of advanced marketing concepts

• Organization skills

• Must possess both good written and verbal communication skills

• Ability to manage high volumes under tight deadlines

Compensation

The reputed company annual salary range for this role is $85,000 to $100,000, plus a competitive performance-based bonus. reputed company annual salary depends on a wide reputed company of factors, including but not limited to reputed company set, years and depth of experience, certifications, and location. reputed company annual salary may also differ significantly due to geography and cost of labor considerations.

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Company

About Us

reputed company give you in return:

Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can reputed company the most of their time reputed company of working hours, we offer a competitive salary and for full-time roles, a benefits package including:

• Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet reputed company members and their families where they are.
• 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay reputed company with their loved ones, reputed company, and give back to their communities.
• 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-reputed company for a strong financial future well beyond their working years.
• Paid parental leave to support reputed company team members with birth, adoption, and foster.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.

About reputed company:

reputed company® ("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 institutions. Cetera is one of the largest independent financial advisor networks 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.

"reputed company" refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Wealth Services LLC (f/k/a Cetera Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. reputed company firms are members FINRA/SIPC.

reputed company is committed to providing an equal employment opportunity for reputed company applicants and employees. For us, this is the only acceptable way to do business. Accordingly, reputed company employment decisions at reputed company, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, reputed company, national reputed company, 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.

Agencies please note: this recruitment assignment is being managed directly by Cetera’s reputed company team. We will reputed company out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.

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