CETERA
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.
Compliance Analyst – Advertising Review
Job not on LinkedIn
🕒 July 14
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CETERA
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 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. • 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. • 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.
🎯 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 a must • Ability to manage high volumes under tight deadlines
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