Principal Analyst, Advertising Regulation
FINRA
full-time
Posted on:
Location Type: Hybrid
Location: Rockville • California • Colorado • United States
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Salary
💰 $95,300 - $206,200 per year
Job Level
About the role
- Independently conducts complex analyses of FINRA firms’ communications with the public
- Provides assistance and support to Associate Director, Director, and Senior Director in quality control, training, and supervision
- Conducts routine and complex assessments and analyses, including spot-checks, of FINRA firms’ communications
- Participates in and coordinates joint evaluations of communications with other FINRA departments and other regulatory agencies
- Documents analyses and writes correspondence
- Participates with other FINRA staff in on-site reviews and examinations and assists in all aspects of the disciplinary process
- Assists immediate manager in final sign-off of analyses to ensure accuracy of rule applications
- Provides staff with training, coaching, advice and feedback on performance
- Monitors work flow and task completion
- Informs immediate manager of new issues and practices which may lead to policy changes
Requirements
- Bachelor's degree plus 5 years of related industry experience, or equivalent business experience
- 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
Benefits
- Comprehensive health, dental and vision insurance
- Basic life and accidental death insurance
- Supplemental life insurance
- Short- and long-term disability insurance
- 401(k) plan with company match
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance programs
- Wellness programs
- 15 days of paid time off
- 5 personal days
- 9 sick days
- 2 volunteer service days
- 9 paid holidays
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
analytical skillsorganizational skillsquality controltrainingsupervisioncommunication analysisrule applicationspot-checksdisciplinary processperformance feedback
Soft Skills
independent workteam collaborationoral communicationwritten communicationcoachingadvicemonitoringtask completionproblem-solvingpolicy development