Compliance Analyst - Advertising Review

reputed company is currently seeking a Compliance Analyst for Ad Review. This is a unique opportunity to join reputed company to ensure that reputed company retail communication complies with state and federal laws, rules and regulations, and internal standards. This also includes Federal and State Insurance Regulations as well as FINRA and SEC Rules. This position will work in the areas of insurance and securities.This is a fully Remote role. What you will you do:

• 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.
• Involved in the following activities to ensure compliance with laws and regulations:
• 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. This may include the NAIC, state DOIs, SEC, or FINRA
• 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 reputed company 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. What you need to have:
• Bachelor’s degree or equivalent experience
• Three years relevant experience in compliance (advertising Compliance experience preferred)
• Series 7 & 24 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 Compensation: The reputed company annual salary range for this role is $62,000 to $91,000, plus a competitive performance-based bonus. reputed company annual salary depends on a wide reputed company of factors, including but not limited to reputed company set, years and depth of experience, certifications, and location. reputed company annual salary may also differ significantly due to geography and cost of labor considerations. #LI-Remote About Us reputed company give you in return: Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can reputed company the most of their time reputed company of working hours, we offer a competitive salary and for full-time roles, a benefits package including:
• Inclusive health, dental, reputed company and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet reputed company 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 reputed company with their loved ones, reputed company, 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-reputed company for a strong financial future well reputed company their working years.
• Paid parental leave to support reputed company team members with birth, adoption, and foster.
• Health Savings and Flexible Spending Account options to help you save money on reputed company, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more. About reputed company: reputed company® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions. Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology. "Cetera Financ

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