Senior Compliance Analyst – Advertising Review

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Senior Compliance Analyst at Cetera Financial Group ensuring retail communication compliance with firm policy, FINRA, and SEC rules. Reviewing communications and maintaining compliance materials for the firm.

Posted 6/2/2026full-timeRemote • 🇺🇸 United StatesSenior💰 $85,000 - $100,000 per yearWebsite

About the role

Key responsibilities & impact

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 within the service level agreement timeframes
Other duties as assigned.

Requirements

What you’ll need

Bachelor’s degree or equivalent experience
Five years relevant experience in advertising compliance
Series 7, 24 & 63 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

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

advertising compliancelife insurance productsannuity productsadvanced marketing concepts

Soft Skills

organization skillswritten communicationverbal communicationteamworktime management

Certifications

Bachelor's degreeSeries 7Series 24Series 63