Associate Principal Analyst, Advertising Regulation

About the role

Reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring work quality, quantity and timeliness, by providing training and communicating information.

Responsibilities

• Reviews a full workload consisting of highly complex communications with the public including retail and institutional sales material submitted by firms pursuant to the filings review program; provides written comments on whether this material complies with applicable rules; and, provides revisions necessary to bring the sales material into compliance.
• Responds to letters and telephone inquiries regarding filing reviews and comments.
• Helps mentor staff members as needed and provides advice, coaching and on-going training.
• Affirms quality and timeliness of staff member’s work by monitoring and reviewing outstanding and response-expected lists, and reviewing work and productivity.
• Provides timely input on performance appraisals and communicates regulatory and administrative information.
• Answers questions from staff and external customers including other FINRA employees and firms.
• Responds to general telephone inquiries from firms, attorneys, advertising agencies, FINRA District Offices, and regulatory agencies.
• Learns and keeps up-to-date on changes in rules and regulations which impact advertising, new types of investment products and new techniques used to market securities products and services.
• Assists in analysis of communications used by firms received as a complaint or inquiry from the public, firms, district offices or other regulatory organizations.

Qualifications

Demonstrates FINRA’s values. Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Skills

Excellent demonstrated oral and written communication skills. Working knowledge of finance, various types of securities and broker-dealer services and methods of marketing required. Thorough knowledge of FINRA, SEC, MSRB, and SIPC rules governing advertising required. Competency with desktop computers and Microsoft Word.

Benefits

Comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.

Pay

To be determined based on experience and qualifications.

Schedule

Hybrid work environment, with defined in-person presence requirements. Occasional travel may be required. Extended hours may be required.