Compliance Analyst – Advertising Review

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🔥 0 minutes ago

🤠 Texas – Remote

🤠 Texas – Remote

💵 $64k - $94k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

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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 affected business units, field personnel, and customers. • Track retail communications using applicable methods and tools in accordance with industry and company record-retention requirements. • Assist in researching, drafting, and/or reviewing insurance and securities products and advertising materials. • Correspond with regulatory bodies, including the NAIC, state departments of insurance, SEC, and FINRA, for advertising-regulation clarification. • Assist in researching and responding to comments and inquiries from state insurance departments or FINRA. • Assist in researching and responding to customer and producer inquiries about compliance issues. • Manage the subject matter expert review process to ensure materials are reviewed by all applicable individuals and units. • Promote consistency of reviews across the organization. • Assist in maintaining internal compliance materials, including manuals, reference materials, reports, and website content. • Perform other duties as assigned.

🎯 Requirements

• Bachelor’s degree or equivalent experience • Three years of relevant compliance experience; advertising compliance experience preferred • Series 7, 24, and 63 FINRA registrations required • Working knowledge of life insurance and annuity products • General knowledge of advanced marketing concepts • Strong communication skills • Ability to manage high volumes under tight deadlines

🏖️ Benefits

• Competitive performance-based bonus • Fully remote work arrangement