Loan Review Manager jobs in Minnesota

At Cetera, we strive for continuous improvement and evolution towards excellence. To achieve this, we require the right individuals who can support and ensure our success. Our corporate team is the backbone of our operations, providing support in various areas such as legal, finance, and HR. We offer diverse business opportunities that are constantly evolving, providing meaningful prospects for growth to everyone. If you are proactive, adaptable to change, and thrive in a fast-paced and dynamic environment, the possibilities for advancement and success are limitless. We are current seeking a Advertising Review Compliance Manager to add to our team. As a manager of Advertising Review, you will play a crucial role in upholding the integrity and regulatory compliance of all advertising and marketing materials. You will be responsible for overseeing and implementing advertising compliance policies, reviewing, and approving advertising materials, and collaborating with cross-functional teams to ensure adherence to industry regulations. This will require a self-motivated individual with strong critical-thinking and communication skills, who is proactive, adaptable to change and thrives in a fast paced and dynamic environment. Further, this individual must possess a deep understanding of the industry and the related financial products and services.  

Key Responsibilities:

• Develop, implement, and manage advertising compliance policies and procedures in alignment with FINRA, SEC, and other relevant regulations.
• Review and approve advertising and marketing materials to ensure compliance with industry guidelines and internal policies.
• Provide guidance and training to internal teams, including marketing, sales, and legal departments, on advertising compliance requirements.
• Stay current with changes in financial industry regulations and update compliance policies as needed.
• Collaborate with external legal counsel and regulatory agencies as necessary to address compliance issues and inquiries.
• Monitor and track advertising campaigns, keeping detailed records and documentation of compliance efforts.
• Conduct periodic audits and reviews to identify and rectify potential compliance violations.
• Manage and lead a team of compliance professionals, providing guidance, training, and performance evaluations.
• Collaborate with the company's legal and risk management departments to ensure consistency in compliance standards.
• Prepare and submit necessary reports and compliance documentation to regulatory agencies.

Qualifications:

• Bachelor’s degree from a four-year college or university, preferably in Finance, Economics, Business Administration, or related field
• A minimum of 5 years of experience in advertising compliance within the financial services industry, preferably at a broker/dealer firm.
• Series 7 and 24 required.
• Strong knowledge of FINRA and SEC regulations, as well as industry best practices in advertising compliance.
• Exceptional attention to detail, analytical skills, and the ability to interpret complex regulatory requirements.
• Strong communication skills to work with advisors, vendors, and internal teams and the ability to collaborate across departments.
• Leadership and team management experience.
• Proficiency in relevant software and compliance tools.
• Proven ability to work independently, meet deadlines, and adapt to a fast-paced and changing regulatory environment.

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