Compliance Analyst – Advertising Review

Cnect

Compliance Analyst ensuring advertising compliance with state and federal regulations. Working remotely for Cetera Financial Group with a focus on insurance and securities communications.

Posted 5/20/2026full-timeRemote • 🇺🇸 United StatesMid-LevelSenior💰 $64,000 - $94,000 per yearWebsite

About the role

Key responsibilities & impact

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.
Assist 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.
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.
Manage subject matter expert review process to ensure materials are reviewed by all applicable individuals/units.
Strive 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.

Requirements

What you’ll need

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

Benefits

Comp & perks

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 our team 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 close with their loved ones, recharge, 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-ahead for a strong financial future well beyond their working years.
Paid parental leave to support all 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.

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

complianceadvertising complianceinsurance productssecurities productsmarketing conceptsregulatory researchdocument reviewrecord retentioncustomer inquiriessubject matter expert review

Soft Skills

communication skillsorganizational skillsability to manage deadlinesattention to detailproblem-solvingcollaborationconsistency in reviewsresearch skillsadaptabilityinterpersonal skills

Certifications

Bachelor's degreeSeries 7Series 24Series 63