- Prior experience in Advertising Review and financial compliance
- Series 7 & 24 FINRA registrations required.
- Must possess both good written and verbal communication skills
- Ability to manage high volumes under tight deadlines
- 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.
Advertising Review Compliance Analyst - El Segundo, United States - Cetera
2 weeks ago
Description
At Cetera we need detailed thinkers to help us deliver quality and value to our clients. As an experienced analyst, you know how to uncover trends and tell meaningful stories through data. You collect, organize, and interpret information with ease and understand the impact your insights have on our business. Cetera Financial Group is currently seeking a Compliance Analyst for Ad Review. This is a great opportunity to join our team and ensure that all retail communication complies with firm policy, FINRA, and SEC rules. This position requires previous Compliance Advertising Review, Series 7/24, and will be located remotely– work from home.
What you will have:
What you will do:
Compensation:
The base annual salary range for this role is $75,000 to $80,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.
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