Senior Compliance Analyst – Advertising Review

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🕒 June 4

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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, firm policy, and regulations. • Be able to explain the reasons for any needed changes to retail communication to the submitter in a concise and accurate manner. • Ensure your reviews are meeting record retention requirements. • Research policy questions in the provided firm manuals and additional resources • Ensure compliance with firm policy by doing the following: • Strive for consistency of your reviews on an ongoing basis • Assist in maintaining internal compliance materials such as manuals and reference material • Understand workflow processes for different vendors • Assist other analysts and work as a member of team to complete assignments • Complete assignments within the service level agreement timeframes • Other duties as assigned.

🎯 Requirements

• Bachelor’s degree or equivalent experience • Five years relevant experience in advertising compliance • Series 7, 24 & 63 FINRA registrations required. • Working knowledge of life insurance and annuity products • General knowledge of advanced marketing concepts • Organization skills • Must possess both good written and verbal communication skills • Ability to manage high volumes under tight deadlines

🏖️ Benefits

• Inclusive health, dental, vision, and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship. • Easy access to mental health benefits to meet our team members and their families where they are. • 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities. • 401(k) savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years. • Paid parental leave to support all team members with birth, adoption, and fostering. • Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more. • Employee Assistance Program (EAP), LifeLock, Pet Insurance and more. • Paid caregiver leave to provide time away from work when caring for an ill or recovering family member. • Additional benefits such as an Employee Assistance Program (EAP), identity theft protection (LifeLock), pet insurance, and other voluntary benefits to provide extra peace of mind