Compliance Analyst- Ad Review
Company: Cetera Financial Group
Posted on: May 24, 2020
Position Title: Compliance Analyst - Ad Review, Cetera Financial
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
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
- 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
- Strives for consistency of the reviews on an ongoing basis to
ensure reviews are performed consistently across the
- Assist in maintaining internal compliance materials such as
manuals, reference material, reports and website.
- Other duties as assigned
What you need to have:
- Bachelor's 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
- General knowledge of advanced marketing concepts
- Good communications skills a must.
- Ability to manage high volumes under tight deadlines
What we give you in
Our competitive Health
program offers a comprehensive benefits package that supports
lifestyles, preventative care and helps to protect against
retirement plan offers our employees the opportunity to plan ahead
for a strong
financial future well beyond their working years.
Cetera Financial Group (Cetera) is a leading financial
advice firm. It empowers the delivery of an Advice-Centric
individuals, families and businesses across the country through
financial advisors as well as trusted tax professionals and banks
services include: wealth management solutions, retirement plan
advisory services, practice management support, innovative
marketing guidance, regulatory support, and market research.
"Cetera Financial Group" refers
to the network of independent retail firms encompassing, among
others, Cetera Advisors LLC, Cetera Advisor Networks
LLC, Cetera Investment Services LLC (marketed as Cetera
Financial Institutions or Cetera
Financial Specialists LLC, and First Allied Securities,
Inc. All firms are members FINRA / SIPC.
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
the Cetera Financial Group, including those relating to hiring,
transfers, benefits, compensation, and placement, will be made
to race, color, ancestry, national origin, citizenship, age,
mental disability, medical condition, pregnancy, genetic
religious dress and/or grooming, gender, gender identity, gender
sexual orientation, marital status, U.S. military status,
affiliation, or any other class protected by state and/or federal
Please Note: Cetera does not accept unsolicited Agency
resumes. Any unsolicited resumes received from Agencies will be
property of Cetera unless specifically requested by Human
Unsolicited resumes will be ineligible for referral fees.
information we collect and the purposes for collection.
Keywords: Cetera Financial Group, Atlanta , Compliance Analyst- Ad Review, Professions , Atlanta, Georgia
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