Compliance Analyst – Advertising Review

🕒 4 days ago

🇺🇸 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 communication against applicable laws and regulations • Interpret the impact of laws on new and existing retail communication • Communicate changes and important issues to affected business units, field, and customers • Track retail communication using applicable methods and tools according to industry/company record retention requirements • Research, draft, and/or review insurance/securities products and advertising materials • Correspond with regulatory bodies such as the NAIC, state DOIs, SEC, or FINRA for advertising-regulation clarification • Research and respond to comments and inquiries from state insurance departments or FINRA • Research and respond to customer and producer inquiries about compliance issues • Manage the subject matter expert review process • Promote 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

• Competitive performance-based bonus • Fully remote work arrangement

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