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. - 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. What you need to have: - Bachelor’s degree or equivalent experience - Five years relevant experience in advertising compliance - 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 Compensation: The base annual salary range for this role is $85,000 to $100,000, 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. #LI-Remote About Us What we give you in return: Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including: - Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship. - Easy access to mental health benefits to meet our team members and their families where they are. - 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities. - 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years. - Paid parental leave to support all team members with birth, adoption, and foster. - Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more. - Employee Assistance Program (EAP), LifeLock, Pet Insurance and more. 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 one of the largest independent financial advisor networks in the nation by number of 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 independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Wealth Services LLC (f/k/a Cetera Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. All firms are members FINRA/SIPC. 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 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. Agencies please note: this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.

• Develop and execute regulatory program strategies and contingencies for assigned projects • Lead both US and ex-US regulatory teams on assigned projects • Develop and implement creative approaches to ensure regulatory success • Provide efficient and effective regulatory representation with clients as well as across the organization and act as a key player in interactions with the Food and Drug Administration (FDA) and other regulatory agencies • Serve as the primary point of contact and interface for FDA/EMA/national agencies on assigned projects • Lead the preparation of submissions, which may include INDs, briefing documents, orphan drug applications, breakthrough designations, and NDAs/BLAs/MAAs and others

• Responsible for leading the project management office across the global Compliance department • Ensure the department effectively enables Stryker’s business results and manages risk • Partner with the global Compliance leadership team to drive strategic work in support of short- and long-term priorities, vision, and strategy • Utilize an effective project management framework to accelerate implementation of the strategy and goals • Work across the department to set the annual projects and cadence • Directly manage and support the Compliance Project Manager(s) and the project management budget • Lead the project management office to ensure the Compliance department effectively enables Stryker’s business results and manages risk • Influence and partner with senior leaders within and outside the Compliance organization to lead projects of strategic importance • Translate the vision, mission, and strategy into projects and initiatives with milestones and delivery schedules • Develop strategies and clear action plans with results-oriented goals for measuring success; drive alignment and buy-in across the organization • Serve as program manager for critical projects, driving both strategy and execution • Design and deploy project management best practices and influence the use of these standards • Consistently analyze processes and provide recommendations and insight to increase efficiency and effectiveness

• Lead NIST SP 800-53 Control Implementation: Own and oversee the interpretation, mapping, and implementation of NIST SP 800-53 Rev 5 controls across Moderate and High baseline engagements, ensuring control narratives are accurate, defensible, and aligned to agency expectations. • Own and Review FedRAMP/GovRAMP Authorization Documentation: Direct the development, quality review, and maintenance of System Security Plans (SSPs), control implementation narratives, POA&Ms, SAPs, SARs, CISOs, and continuous monitoring artifacts for FedRAMP and GovRAMP programs. • Lead FedRAMP and GovRAMP Readiness Assessments: Lead gap analyses and readiness reviews that prepare clients for Agency ATO pathways, GovRAMP authorization, and the FedRAMP 20x continuous authorization model. Translate findings into actionable remediation roadmaps aligned to authorization milestones. • Manage Authorization and Assessment Coordination: Serve as the primary engagement lead coordinating with Third-Party Assessment Organizations (3PAOs), Authorizing Officials (AOs), cloud service providers, and state agency stakeholders throughout the FedRAMP and GovRAMP authorization lifecycle. • Boundary Definition & System Scoping: Lead FedRAMP and GovRAMP authorization boundary definition and system scoping activities, including in-scope component identification, interconnections, data flows, shared responsibility models, and leveraged authorization packages, ensuring alignment with FedRAMP PMO guidance and agency-specific requirements. • Oversee Continuous Monitoring Programs: Direct and quality-assure monthly, quarterly, and annual FedRAMP and GovRAMP continuous monitoring requirements, including vulnerability management, incident response reporting, significant change requests, and annual assessment planning. Advise clients on automation tooling and OSCAL adoption aligned to FedRAMP 20x objectives. • Drive FedRAMP 20x Readiness and Positioning: Serve as Workstreet’s internal subject matter expert on FedRAMP 20x, including machine-readable authorization packages (OSCAL), continuous authorization models, and emerging PMO pilot guidance. Educate clients and internal teams on implications and readiness pathways. • Manage Client Relationships and Engagement Delivery: Own client-facing communication, milestone tracking, and escalation management across multiple concurrent FedRAMP, GovRAMP, and NIST 800-53 engagements. Ensure consistent delivery quality across the portfolio and serve as the primary point of escalation for client issues. • Support Business Development and Solutioning: Contribute to proposals, scoping calls, and sales conversations for FedRAMP, GovRAMP, and NIST 800-53 opportunities. Help shape Workstreet’s go-to-market positioning for state and federal government compliance services. • Lead, Coach, and Develop GRC Engineers: Directly manage and mentor a team of Senior and Junior GRC Engineers supporting federal compliance engagements. Provide hands-on technical coaching on NIST SP 800-53 control implementation, FedRAMP documentation standards, and 3PAO coordination.