Senior Compliance Analyst - Advertising Review
Cetera$85K – $100K per yearUnited States only
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Cetera Financial Group is currently seeking a Senior 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 is a remote role.
What you will do:
- 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.