Remote Jobs
Compliance Analyst - Advertising Review
What's your preference?
Job Description
- Req#: 300000674494452
- 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.
- 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
- Assists 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.
- 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
Job Description
Cetera Financial Group is currently seeking a Compliance Analyst for Ad Review. This is a unique opportunity to join our team to ensure that all retail communication complies with state and federal laws, rules and regulations, and internal standards. This also includes Federal and State Insurance Regulations as well as FINRA and SEC Rules. This position will work in the areas of insurance and securities. This is a fully Remote role.
What You Will Do:
What You Need to Have:
Compensation:
The base annual salary range for this role is $64,000 to $94,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.
#LI -RemoteAbout the company
The best remote jobs for you
Notice
Talentify is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or protected veteran status.
Talentify provides reasonable accommodations to qualified applicants with disabilities, including disabled veterans. Request assistance at accessibility@talentify.io or 407-000-0000.
Federal law requires every new hire to complete Form I-9 and present proof of identity and U.S. work eligibility.
An Automated Employment Decision Tool (AEDT) will score your job-related skills and responses. Bias-audit & data-use details: www.talentify.io/bias-audit-report. NYC applicants may request an alternative process or accommodation at aedt@talentify.io or 407-000-0000.