Senior Compliance Analyst - Advertising Review
CeteraUnited States
Posted March 26, 2026
85000 - 100000 USD
Full Time
About the Company
Cetera Financial Group 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.
Job Description
We are seeking a Senior Compliance Analyst for Ad Review. This role will review retail communication against applicable laws, firm policy, and regulations, and ensure compliance with firm policy and regulations. The role will also research policy questions, assist in maintaining internal compliance materials, and complete assignments within service level agreement timeframes.
Requirements
- Bachelor’s degree or equivalent experience
- Five years relevant experience in advertising compliance
- Series 7 & 24 FINRA registrations required
- Working knowledge of life insurance and annuity products
- General knowledge of advanced marketing concepts
- Organization skills
- Good written and verbal communication skills
- Ability to manage high volumes under tight deadlines
Benefits
- Inclusive health, dental, vision and life insurance plans
- Easy access to mental health benefits
- 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days
- 401(k) Savings plan with a generous company contribution
- Paid parental leave
- Health Savings and Flexible Spending Account options
- Employee Assistance Program (EAP), LifeLock, Pet Insurance and more