Full-Time
Compliance Analyst
Advertising Review
Cetera Financial Group
501-1,000 employees
Provides financial advisory services and support
Compensation Overview
$59k - $103k/yr
Remote in USA
Remote
| ⚖️Legal & Compliance (1) |
|---|
- Bachelor’s degree or equivalent experience
- Three years relevant experience in compliance (advertising Compliance experience preferred)
- Series 7 & 24 FINRA registrations required
- Working knowledge of life insurance and annuity products
- General knowledge of advanced marketing concepts
- Organization skills
- 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 Compliance experience preferred
Cetera Financial Group operates as a network of independent retail firms that provide financial advisory services. The company supports independent financial advisors and financial institutions by offering a platform that includes a variety of products, services, and resources designed to help these advisors grow their businesses and serve their clients effectively. Cetera's offerings include technology solutions, marketing support, compliance services, and access to a wide range of investment products. This approach allows advisors to focus on their clients while benefiting from the tools and support provided by Cetera. Unlike many competitors, Cetera emphasizes building strong relationships with strategic partners to enhance the outcomes for both advisors and their clients. The company's goal is to empower financial advisors to succeed in their practices, ultimately managing $165 billion in assets and overseeing $423 billion in assets under administration.
Company Size
501-1,000
Company Stage
N/A
Total Funding
N/A
Headquarters
El Segundo, California
Founded
1981
Simplify's Take
What believers are saying
- Increased demand for personalized advice boosts Cetera's tailored solutions.
- Hybrid advisory models enhance client engagement and operational efficiency for Cetera.
- ESG investing trends align with Cetera's sustainable investment offerings.
What critics are saying
- Competition from fintechs with AI-driven services threatens Cetera's market share.
- Robo-advisors offering low-cost solutions may attract Cetera's clients.
- Regulatory scrutiny on fees could impact Cetera's revenue model.
What makes Cetera Financial Group unique
- Cetera's joint venture with ATS enhances AI-driven income planning strategies.
- LAFCU's affiliation highlights Cetera's expertise in credit union wealth management.
- GrowthLine's program offers a unique growth guarantee for affiliated advisors.
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Benefits
Hybrid Work Options
Performance Bonus
Company News
SAN DIEGO, July 15, 2025 /PRNewswire/ - Cetera today announced a joint venture with Advanced Time Segmentation (ATS) that combines Cetera's advisor-first approach with the innovative, artificial intelligence-driven technology from ATS to deliver a research-based income planning strategy that strengthens client trust and long-term financial success.
A Southern California fixture for nearly a century, LAFCU affiliates with Cetera to enhance financial planning and wealth management services to its 75,000 membersSAN DIEGO, June 12, 2025 /PRNewswire/ -- Cetera today announced that Los Angeles Federal Credit Union (LAFCU) has affiliated with Cetera Financial Institutions to support and grow its member-focused investment services program, LAFCU Wealth Management.LAFCU Wealth Management comes to Cetera from CUSO Financial Services (CFS) – an LPL Financial company – bringing with it approximately $160 million in assets under administration,* as well as two experienced advisors: Steven Liang and John Herrera. Clients can now look forward to a modernized experience with enhanced resources to help them reach their financial goals.LAFCU President/CEO Anthony Cuevas said credit union leadership kept an enhanced members' experience in mind when looking for a new financial services partner, noting that Cetera's proven ability to understand the nuances of a credit union's wealth management program and prioritizing LAFCU members' needs."Since partnering with Cetera, we have never once felt like just another investment program," Cuevas said. "With Cetera we have the freedom to run our wealth management business how it will best serve our members – all while using the robust technology and top-tier support Cetera can offer thanks to its size, scale and commitment to outstanding client service. Cetera is helping us offer the elevated financial planning, advice and investment options our Los Angeles community so deeply wants and deserves."Founded in 1936, LAFCU was formed by 13 Los Angeles City employees who pooled $65 with the goal of creating a safe, low-cost place for fellow city employees to save and borrow money in the face of a historically painful economy. Over the past 89 years, LAFCU expanded to provide financial services to more than 75,000 members across the Greater Los Angeles Metropolitan area."LAFCU's decision to partner with Cetera underscores our shared dedication to excellent service," said LeAnn Rummel, president and CEO of Cetera Investment Services. "We are eager to support LAFCU Wealth Management's continued growth by using the tools, technology and community-driven approach that make Cetera such a desirable destination for banks and credit unions."Cetera Financial Institutions is a community within Cetera Investment Services that supports the investment programs of over 450 banks and credit unions
SAN DIEGO, June 6, 2025 /PRNewswire/ -- Cetera and its affiliated companies ("Cetera") have been recognized as a finalist for three 2025 Wealth Management Industry Awards ("Wealthies")* in the categories of Digital Marketing Campaign of the Year, Transition Support, and Practice Management. Cetera will be recognized alongside other finalists at the Wealth Management Industry Awards Gala, Sept. 4, 2025, at Cipriani 42nd Street in New York City.Cetera is a 2025 "Wealthies" finalist for the following initiatives:Omni Channel Campaign– Digital Marketing Campaign of the Year – Cetera earned a nomination for Digital Campaign of the Year in recognition of our GrowthLine's program's** measurable success and market impact – a strategic commercial acceleration program within its Growth360 platform. GrowthLine provides affiliated advisors with a data-driven blueprint for accelerating growth – integrating strategic planning, marketing enablement, and client acquisition support. Central to the campaign was the debut of Cetera's industry-first Growth Guarantee, which pledges 50% faster growth in assets under administration, or a full refund of affiliation fees. Through this dynamic, omni-channel launch strategy, the campaign delivered exceptional engagement and further solidified Cetera's reputation as the industry's most invested partner in advisor growth.Cetera earned a nomination for Digital Campaign of the Year in recognition of our GrowthLine's program's** measurable success and market impact – a strategic commercial acceleration program within its Growth360 platform
Cetera will be recognized alongside other finalists at the Wealth Management Industry Awards Gala, Sept. 4, 2025, at Cipriani 42nd Street in New York City.
Strategic hire accelerates RIA expansion across Cetera's Wealth Hub architecture, delivering dedicated infrastructure, tech stack and compliance support to independent advisorsSAN DIEGO, May 29, 2025 /PRNewswire/ -- Cetera today announced the appointment of Andina Anderson as Managing Director, Digital Solutions, and head of RIA Blueprint – a purpose-built platform central to Cetera's Wealth Hub strategy. In this expanded leadership role, Anderson will oversee strategic growth across Cetera's rapidly scaling segment of affiliates' Registered Investment Adviser (RIA) firms