Associate Principal Analyst, Advertising Regulation
FINRA
full-time
Posted on:
Location Type: Hybrid
Location: Rockville • Colorado • Illinois • United States
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Salary
💰 $81,900 - $176,000 per year
About the role
- Independently 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.
- Conducts complex reviews and spot-checks on an as-needed basis.
- Reviews a full workload consisting of highly complex communications with the public including retail and institutional sales material submitted by firms.
- Provides written comments on compliance with applicable advertising rules.
- Responds to letters and telephone inquiries regarding filing reviews and comments.
- Mentors staff members as needed and provides advice, coaching and ongoing training.
- Assures quality and timeliness of staff member’s work.
- Provides timely input on performance appraisals and communicates regulatory and administrative information.
- Answers questions from staff and external customers.
Requirements
- Bachelor's degree plus five years of related industry experience, or equivalent business experience; or successful completion of at least 1 year as a Senior Analyst in the Advertising Regulation Department.
- Academic courses or work experience showing successful use of analytical skills preferred.
- 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
- Basic life and accidental death insurance
- Supplemental life insurance
- Spouse/domestic partner and dependent life insurance
- Short and long-term disability
- Long-term care insurance
- Business travel accident insurance
- Disability insurance
- Legal insurance
- 401(k) plan with company match
- Additional FINRA-funded retirement contribution
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance
- 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 skillscompliance reviewperformance appraisalcommunication review
Soft Skills
mentoringcoachingtrainingcommunication