Associate Principal Analyst, Advertising Regulation

FINRA

. Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations .

Posted 5/16/2026full-timeRockville • Colorado, Illinois, Maryland, New York, Texas • 🇺🇸 United StatesJuniorMid-Level💰 $83,900 - $165,300 per yearWebsite

About the role

Key responsibilities & impact

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
Conducts complex reviews and spot-checks as needed
Reviews highly complex communications with the public including retail and institutional sales material submitted by firms
Provides written comments on compliance of materials with applicable rules
Responds to letters and telephone inquiries regarding filing reviews and comments
Helps mentor staff members and provides ongoing training
Assures quality and timeliness of staff member’s work
Provides timely input on performance appraisals
Answers questions from staff and external customers like firms and regulatory agencies
Keeps up-to-date on changes in advertising rules and new investment products
Assists in analysis of communications received as complaints or inquiries

Requirements

What you’ll need

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

Comp & perks

Comprehensive health, dental and vision insurance
Basic life and supplemental life insurance
Accidental death and dismemberment insurance
Short- and long-term disability
401(k) plan with company match
FINRA-funded retirement contribution
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
Two volunteer service days
Military leave
Jury duty leave
Bereavement leave
Childbirth and parental leave
9 paid holidays

ATS Keywords

✓ Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools

analytical skillscompliance reviewcommunication reviewperformance appraisaladvertising regulationfinancial analysissecurities knowledgebroker-dealer servicesmarketing methodswritten comments

Soft Skills

mentoringcommunication skillsquality assurancetimelinesstrainingcustomer serviceproblem-solvingteam collaborationattention to detailresponsiveness