Principal Analyst, Advertising Regulation

About the role

Conducts routine and complex assessments and analyses, including spot-checks, of FINRA firms’ communications with the public. Participates in and coordinates joint evaluations of communications with other FINRA departments and other regulatory agencies. Documents analyses and writes correspondence. Assists in on-site reviews and examinations and assists in the disciplinary process. Provides staff with training, coaching, advice and feedback on performance. Monitors work flow and task completion. Informs manager of new issues and practices leading to potential policy changes. Provides timely input on team member performance appraisals. Communicates regulatory and administrative information to team members. Answers questions from team members and external customers including other FINRA employees and firms.

Responsibilities

• Conducts routine and complex assessments and analyses, including spot-checks, of FINRA firms’ communications with the public.
• Participates in and coordinates joint evaluations of communications with other FINRA departments and other regulatory agencies.
• Documents analyses and writes correspondence.
• Assists in on-site reviews and examinations and assists in the disciplinary process.
• Provides staff with training, coaching, advice and feedback on performance.
• Maintains work flow and monitors task completion.
• Informs manager of new issues and practices leading to potential policy changes.
• Provides timely input on team member performance appraisals.
• Communicates regulatory and administrative information to team members.
• Answers questions from team members and external customers including other FINRA employees and firms.

Requirements

Education/Experience Requirements: Bachelor's degree plus 5 years of related industry experience, or equivalent business experience, or successful completion of at least 1 year as an Associate Principal Analyst. Demonstrated ability to work independently and in groups. Work experience showing successful use of analytic and organizational skills required. Excellent demonstrated oral and written communication skills. Knowledge of various types of securities and broker-dealer services and methods of marketing required. In-depth knowledge of FINRA, SEC, MSRB and SIPC rules and interpretations governing advertising required. Competency with desktop computers and Microsoft Word.

Qualifications

Demonstrated ability to work independently and in groups. Work experience showing successful use of analytic and organizational skills required. Excellent demonstrated oral and written communication skills. Knowledge of various types of securities and broker-dealer services and methods of marketing required. In-depth knowledge of FINRA, SEC, MSRB and SIPC rules and interpretations governing advertising required. Competency with desktop computers and Microsoft Word.

Skills

Excellent demonstrated oral and written communication skills. Knowledge of various types of securities and broker-dealer services and methods of marketing. In-depth knowledge of FINRA, SEC, MSRB and SIPC rules and interpretations governing advertising. 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 location and experience.

Schedule

Hybrid work environment, with defined in-person presence requirements. Occasional travel may be required for participation in on-site examinations, provision of expert testimony, presentations at conferences and meetings with other regulators. Some extended hours may be required.