Compliance Analyst – Advertising Review

CETERA

. Review retail communication against applicable laws and regulations .

Posted 10/26/2026full-timeRemote • United StatesMid-LevelSenior💰 $64,000 - $94,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance with a focus on retail communication, including the ability to interpret laws and regulations, manage compliance materials, and effectively communicate with stakeholders. Proficient in handling inquiries related to insurance and securities products while maintaining consistency across reviews.

Highest-signal resume keywords

Compliance ExperienceFINRA Series 7 RegistrationFINRA Series 24 RegistrationFINRA Series 63 RegistrationLife Insurance Knowledge

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Retail Communication ReviewRegulatory InterpretationInsurance Product ResearchAdvertising Material ReviewRecord Retention Tracking

Soft Skills

Good Communication SkillsAbility to Manage Deadlines

Certifications & Qualifications

Bachelor’s DegreeFINRA Series 7FINRA Series 24FINRA Series 63

Industry Keywords

ComplianceAdvertising ComplianceInsurance ProductsAnnuity ProductsMarketing Concepts

About the role

Key responsibilities & impact

Review retail communication against applicable laws and regulations
Interpret the impact of laws on new and existing retail communication
Communicate changes and important issues to affected business units, field, and customers
Track retail communication using applicable methods and tools in accordance with record retention requirements
Research, draft, and/or review insurance/securities products and advertising materials
Correspond with regulatory bodies such as the NAIC, state DOIs, SEC, and FINRA
Research and respond to comments and inquiries from state insurance departments or FINRA
Research and respond to customer and producer inquiries about compliance issues
Manage the subject matter expert review process
Maintain consistency of reviews across the organization
Maintain internal compliance materials, including manuals, reference materials, reports, and website
Perform other duties as assigned

Requirements

What you’ll need

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

Benefits

Comp & perks

Inclusive health, dental, vision, and life insurance plans
Mental health benefits
20+ days of paid time off (PTO)
Paid holidays
2 paid wellness days
401(k) savings plan with company contribution up to 5%
Access to a financial professional
Paid parental leave
Health Savings Account and Flexible Spending Account options
Employee Assistance Program (EAP)
LifeLock identity theft protection
Pet insurance
Paid caregiver leave
Additional voluntary benefits
Competitive performance-based bonus