Compliance Analyst – Advertising Review

CETERA

Compliance Analyst reviewing retail advertising for Cetera Financial Group, a financial services company. Ensuring insurance and securities communications comply with FINRA, SEC, and insurance regulations.

Posted 8/11/2026full-timeRemote • Texas • 🇺🇸 United StatesMid-LevelSenior💰 $64,000 - $94,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance with a focus on retail communications, including the interpretation of laws and regulations. Proficient in managing communication with regulatory bodies and ensuring consistency in compliance reviews across the organization.

Highest-signal resume keywords

Bachelor’s DegreeThree Years Compliance ExperienceSeries 7 FINRA RegistrationSeries 24 FINRA RegistrationSeries 63 FINRA Registration

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Advertising ComplianceLife Insurance KnowledgeAnnuity Products KnowledgeRegulatory CommunicationResearch and DraftingRecord-Retention MethodsCompliance Materials Management

Soft Skills

Strong Communication SkillsAbility to Manage High VolumesAbility to Work Under Tight Deadlines

Certifications & Qualifications

FINRA Series 7FINRA Series 24FINRA Series 63

Industry Keywords

Retail CommunicationsComplianceRegulatory BodiesNAICSECFINRAInsurance ProductsAdvertising Regulation

About the role

Key responsibilities & impact

Review retail communications against applicable laws and regulations.
Interpret the impact of laws on new and existing retail communications.
Communicate regulatory changes and important issues to affected business units, field personnel, and customers.
Track retail communications using applicable methods and tools in accordance with industry and company record-retention requirements.
Assist in researching, drafting, and/or reviewing insurance and securities products and advertising materials.
Correspond with regulatory bodies, including the NAIC, state departments of insurance, SEC, and FINRA, for advertising-regulation clarification.
Assist in researching and responding to comments and inquiries from state insurance departments or FINRA.
Assist in researching and responding to customer and producer inquiries about compliance issues.
Manage the subject matter expert review process to ensure materials are reviewed by all applicable individuals and units.
Promote consistency of reviews across the organization.
Assist in maintaining internal compliance materials, including manuals, reference materials, reports, and website content.
Perform other duties as assigned.

Requirements

What you’ll need

Bachelor’s degree or equivalent experience
Three years of relevant compliance experience; advertising compliance experience preferred
Series 7, 24, and 63 FINRA registrations required
Working knowledge of life insurance and annuity products
General knowledge of advanced marketing concepts
Strong communication skills
Ability to manage high volumes under tight deadlines

Benefits

Comp & perks

Competitive performance-based bonus
Fully remote work arrangement