Position Title: Compliance Analyst - Ad Review, Cetera Financial Group
What we need:
Work location: El Segundo, CA, San Diego, CA or Atlanta, GA
Cetera Financial Group is currently seeking a Compliance Analyst for Ad Review. This is a unique opportunity to join our team 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.
What you will do:
What you need to have:
What we give you in return:
Our competitive Health program offers a comprehensive benefits package that supports healthy lifestyles, preventative care and helps to protect against hardship. Our retirement plan offers our employees the opportunity to plan ahead for a strong financial future well beyond their working years.
About Cetera Financial Group:
Cetera Financial Group® ("Cetera") 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. Cetera is the second-largest independent financial advisor network in the nation bynumberof advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions.
Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
*"Cetera Financial Group" refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions, Cetera Financial Specialists, First Allied Securities, and Summit Brokerage Services.
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.
Job Type: Full-time