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Company Contact Info
200 North Sepulveda Boulevard
El Segundo, CA 90245
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Compliance Analyst - Advertising Review
Cetera Financial Group, Inc. • El Segundo, CA
Posted 23 days ago
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- To ensure that all advertising and sales literature complies with state and federal laws, rules and regulations, and internal standards. This may include Federal and State Insurance Regulations as well as FINRA and SEC Rules. This position will work in the area of insurance and securities.
- Review advertising and sales literature against applicable laws and regulations. Interpret impact of laws on new and existing advertising and sales literature. Communicates changes and important issues to affected business unit, field and customers. Effectively track advertising and sales literature using applicable methods and tools per industry/company record retention requirements.
- Involved in one or more of the following activities depending on business unit, 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.
- Assist 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.
- Bachelor’s Degree or equivalent experience
- Three years relevant experience in compliance (Advertising Compliance experience preferred)
- FINRA registrations:
- Series 7 FINRA
- 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
- Top notch written and oral communication skills
- Team player attitude and work style
- Keen eye for detail
About Cetera Financial Group
Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at the Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.