Advertising Regulation Principal Analyst

Financial Industry Regulatory Authority, Inc.; Rockville (MD); Hybrid; USD 112,000 - 203,000; Full time

Benefits offered by this job

Health insurance

401(k) plan

Paid holidays

Job summary

FINRA is seeking a Principal Analyst for Advertising Regulation in a hybrid role based in Rockville, MD, with responsibilities spanning complex analyses of member communications, joint regulatory evaluations, and contribution to policy and training. The position requires strong independent work, analytical rigor, and deep knowledge of FINRA/SEC rules governing advertising.

The role involves collaboration across FINRA teams, on-site examinations as needed, and occasional travel.

Qualifications

• 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.
• Excellent oral and written communication skills.
• Knowledge of securities, broker-dealer services and marketing methods.
• In-depth knowledge of FINRA, SEC, MSRB and SIPC rules and interpretations governing advertising.
• Competency with desktop computers and Microsoft Word.

Responsibilities

• Independently conducts complex analyses of FINRA firms’ communications with the public.
• Assists in routine and complex assessments including spot-checks and joint evaluations with other regulators.
• Documents analyses and writes correspondence; supports on-site reviews and examinations.
• Provides training, coaching and feedback to team members; informs management of new issues.
• Contributes to policy development and interprets rule applications.

Skills

Analytical skills

Oral and written communication

Independent work

Knowledge of FINRA/SEC rules

Microsoft Word

Education

Bachelor's degree

Tools

Microsoft Word

Job description

FINRA is seeking a Principal Analyst for Advertising Regulation in a hybrid role based in Rockville, MD, with responsibilities spanning complex analyses of member communications, joint regulatory evaluations, and contribution to policy and training. The position requires strong independent work, analytical rigor, and deep knowledge of FINRA/SEC rules governing advertising.

The role involves collaboration across FINRA teams, on-site examinations as needed, and occasional travel.