Compliance Analyst – Advertising Review

🕒 October 21

🇺🇸 United States – Remote

💵 $64k - $94k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

👻 Ghost score 21%

What it means: the chance that no one is really hiring for this job.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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CETERA

WebsiteLinkedInAll Job Openings

2 - 10 employees

Founded 2021

💸 Finance

🤝 B2B

☁️ SaaS

Finance • B2B • SaaS

CETERA is a wealth-management and financial services platform that provides broker-dealer, advisory, technology and practice-management solutions to independent financial advisors, registered investment advisers, tax and accounting professionals, and financial institutions. The company emphasizes B2B partnership models—white-glove onboarding, proprietary client-facing platforms, marketing and growth programs, and operational support—designed to help advisors transition assets, scale their businesses, and enhance client engagement. Cetera positions itself as a growth-focused partner and a technology-enabled “wealth hub” rather than a consumer-facing retail firm.

📋 Description

• Review retail communications against applicable laws and regulations • Interpret the impact of laws on new and existing retail communications • Communicate regulatory changes and important issues to business units, field staff, and customers • Track retail communications using applicable methods and tools according to record retention requirements • Research, draft, and/or review insurance and securities products and advertising materials • Correspond with regulatory bodies, including the NAIC, state DOIs, SEC, and FINRA • Research and respond to comments and inquiries from state insurance departments and FINRA • Research and respond to customer and producer compliance inquiries • Manage the subject matter expert review process • Ensure consistency of reviews across the organization • Maintain internal compliance materials, including manuals, reference materials, reports, and website • Perform other duties as assigned

🎯 Requirements

• 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 • Ability to manage high volumes under tight deadlines

🏖️ Benefits

• Inclusive health, dental, vision, and life insurance plans • Mental health benefits • 20+ days of paid time off (PTO) • Paid holidays • 2 paid wellness days • 401(k) savings plan with company contribution up to 5% • Access to a financial professional for financial planning • Paid parental leave • Health Savings Account and Flexible Spending Account options • Employee Assistance Program (EAP) • LifeLock identity theft protection • Pet insurance • Paid caregiver leave • Other voluntary benefits

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