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Compliance Analyst- Ad Review

Company: Cetera Financial Group
Location: Atlanta
Posted on: May 24, 2020

Job Description:

Position Title: Compliance Analyst - Ad Review, Cetera Financial Group
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 securities.
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 requirements.
  • 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 individuals/units.
  • Strives 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


    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

      products
    • General knowledge of advanced marketing concepts
    • Good communications skills a must.
    • Ability to manage high volumes under tight deadlines



      What we give you in

      return:

      Our competitive Health

      program offers a comprehensive benefits package that supports healthy

      lifestyles, preventative care and helps to protect against hardship. Our

      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 Experience-- to

      individuals, families and businesses across the country through independent

      financial advisors as well as trusted tax professionals and banks and credit

      unions.

      Comprehensive

      services include: wealth management solutions, retirement plan solutions,

      advisory services, practice management support, innovative technology,

      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

      Investors), 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 decisions at

      the Cetera Financial Group, including those relating to hiring, promotion,

      transfers, benefits, compensation, and placement, will be made without regard

      to race, color, ancestry, national origin, 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.

      Please Note: Cetera does not accept unsolicited Agency

      resumes. Any unsolicited resumes received from Agencies will be considered

      property of Cetera unless specifically requested by Human Resources.

      Unsolicited resumes will be ineligible for referral fees.

      Please review our Workforce Privacy Policy for further details on what

      information we collect and the purposes for collection.

Keywords: Cetera Financial Group, Atlanta , Compliance Analyst- Ad Review, Professions , Atlanta, Georgia

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