{"id":3101056,"url":"https://alion.io/job/cetera-compliance-analyst-advertising-review","title":"Compliance Analyst - Advertising Review","company":{"id":2691649,"name":"Cetera","domain":"cetera.com","url":"https://alion.io/company/cetera-com","size_band":null,"is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":null,"truth_index":null},"role":"Legal","role_family":"Legal","seniority":"middle","employment_type":"full_time","work_mode":"remote","remote_scope":"stated_countries","remote_scope_basis":"inferred_company_offices","remote_working_hours":null,"hiring_geo_confidence":"inferred","locations":[],"countries":[],"hiring_countries":["US"],"hiring_countries_total":1,"salary":{"min":64000,"max":94000,"currency":"USD","period":"year","gross":null,"usd_annual":94000},"salary_estimate":null,"experience_years_min":3,"visa_sponsorship":false,"relocation_package":false,"has_equity":false,"technologies":[],"status":"live","first_seen_at":"2026-10-22T15:43:23Z","employer_posted_date":null,"last_verified_at":"2026-10-22T15:43:23Z","board_verified":false,"closed_at":null,"days_open":12,"trust":{"level":"not_scored","repost_count":null,"flags":[],"days_open":12},"description":"DescriptionCetera Financial Group is currently seeking a Compliance Analyst for Ad Review. This is a unique opportunity to join our team to ensure that all retail communication complies with state and federal laws, rules and regulations, and internal standards. This also includes Federal and State Insurance Regulations as well as FINRA and SEC Rules. This position will work in the areas of insurance and securities. This is a fully Remote role. \nWhat You Will Do: \nReview retail communication against applicable laws and regulations. Interpret impact of laws on new and existing retail communication. Communicate changes and important issues to affected business unit, field, and customers. Effectively track retail communication using applicable methods and tools per industry/company record retention requirements.\n\nInvolved in the following activities to ensure compliance with laws and regulations:\nAssists in researching, drafting, and /or reviewing insurance/securities products and/or advertising materials\n\nCorrespond with applicable regulatory bodies for clarification of advertising regulations as needed. This may include the NAIC, state DOIs, SEC, or FINRA\n\nAssist in researching and responding to comments and/or inquiries received from state insurance departments or FINRA\n\nAssists in researching and responding to customer and/or producer inquiries about compliance issues.\n\nManages subject matter expert review process to ensure materials are reviewed by all applicable individuals/units.\n\nStrives for consistency of the reviews on an ongoing basis to ensure reviews are performed consistently across the organization.\n\nAssist in maintaining internal compliance materials such as manuals, reference material, reports and website\n\nOther duties as assigned.\n\nWhat You Need to Have: \nBachelor’s degree or equivalent experience\n\nThree years relevant experience in compliance (advertising Compliance experience preferred)\n\nSeries 7, 24 & 63 FINRA registrations required.\n\nWorking knowledge of life insurance and annuity products\n\nGeneral knowledge of advanced marketing concepts\n\nGood communications skills a must\n\nAbility to manage high volumes under tight deadlines.\n\nCompensation: \nThe base annual salary range for this role is $64,000 to $94,000, 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. \n\n #LI -Remote\n\nOriginally posted on Himalayas","description_format":"text","description_chars":2611,"description_truncated":false,"requirements":{"experience_years_min":3,"management_years_min":null,"team_size_min":null,"manages_managers":false,"education":null,"security_clearance":false,"languages":[]},"benefits":["Life insurance"],"hiring_locations":[{"name":"United States","iso":"US","kind":"country"}],"hiring_excludes":[],"relocation_offered":false,"industries":["Wealth Management & Financial Advisors","Insurance Brokers & Agencies"],"lifecycle":[{"event":"open","at":"2026-10-22T17:28:15Z"}],"visa":[],"liveness":{"score":75,"band":"hot","label":"Hiring now","p_open":1,"p_active":0.829,"p_room":0.9,"age_days":11,"expected_fill_days":28,"reasons":["seen:11","win:mid"],"computed_at":"2026-11-03T05:54:40Z"},"pay":{"stated_usd_annual":94000,"is_top_pay":false},"html_url":"https://alion.io/job/cetera-compliance-analyst-advertising-review","json_url":"https://alion.io/job/cetera-compliance-analyst-advertising-review.json","meta":{"generated_at":"2026-11-03T22:22:54Z","cache_seconds":300,"methodology":"https://alion.io/methodology","terms":"https://alion.io/terms","contact":"https://alion.io/contact","api":"https://alion.io/developers","about":"Alion is a live layer of people, companies and AI agents: who they are, whether they are real and active right now, what they do and how to work with them, readable by people and by agents and paid per call.","catalog":"https://alion.io/catalog.json","usage":{"tier":"crawler_verified","counted_by":"address","units_charged":1,"used_today":1024,"day_limit":null,"remaining_today":null,"minute_limit":300,"resets_at":"2026-11-04T00:00:00Z"}},"offers":[{"id":"company.slices","title":"One company in depth, by slice","status":"live","price":{"credits":0.02,"usd":0.002,"plus_per_slice":{"credits":0.05,"usd":0.005}},"unit":"per company, plus each slice with data","note":"the employer in depth","call":{"mcp_tool":"get_company","arguments":{"id":2691649},"rest":"https://alion.io/mcp/rest/get_company?id=2691649"},"human":"https://alion.io/catalog?offer=company.slices&for=job%2Fcetera-compliance-analyst-advertising-review"},{"id":"market.stats","title":"A market slice: pay, demand and time to fill","status":"live","price":{"credits":1,"usd":0.1},"unit":"per slice","note":"pay, demand and time to fill for this role and place","call":{"mcp_tool":"market_stats"},"human":"https://alion.io/catalog?offer=market.stats&for=job%2Fcetera-compliance-analyst-advertising-review"},{"id":"job.search","title":"Open jobs by role, technology, place, pay and visa","status":"live","price":{"credits":0.02,"usd":0.002},"unit":"per posting in a list","note":"similar open postings","call":{"mcp_tool":"search_jobs"},"human":"https://alion.io/catalog?offer=job.search&for=job%2Fcetera-compliance-analyst-advertising-review"},{"id":"company.verify","title":"Is this company real and active right now","status":"pilot","price":null,"unit":"per company","request":{"url":"https://alion.io/catalog/request","method":"POST","body":"{\"offer\": \"company.verify\", \"for\": \"job/cetera-compliance-analyst-advertising-review\", \"note\": \"what you need it for\"}"},"human":"https://alion.io/catalog?offer=company.verify&for=job%2Fcetera-compliance-analyst-advertising-review"}],"agent":{"mcp":"https://alion.io/mcp/jobs","mcp_open":"https://alion.io/mcp/open","next":[{"tool":"get_job","arguments":{"id":3101056}},{"tool":"search_jobs","arguments":{"company":"cetera.com","detail":"compact"}},{"tool":"match_people","arguments":{"job_id":3101056},"note":"people open to offers who fit this vacancy"}],"note":"The same data through MCP tools: https://alion.io/mcp/open needs no sign-in (compact searches, postings, people); https://alion.io/mcp with an Alion account has everything. Docs: https://alion.io/developers"}}