Associate Principal Analyst, Advertising Regulation

Newsletter Jobs; Rockville (MD); Hybrid; USD 97,000 - 173,000; Full time

Benefits offered by this job

Health, dental, and vision insurance

401(k) with company match

Tuition reimbursement

Commuter benefits

Adoption assistance

Wellness programs

Volunteer service days

Job summary

FINRA is seeking a Senior Analyst in the Advertising Regulation Department to review highly complex public communications for compliance with FINRA, SEC, MSRB and SIPC rules. You will respond to inquiries, mentor staff, and ensure timely, high-quality output while staying current on regulatory changes.

Hybrid work environment with travel as needed. The role requires a Bachelor's degree plus five years of related experience or equivalent, and strong communication and analytical skills.

Qualifications

• Bachelor's degree plus five years of related industry experience, or equivalent business experience.
• Analytical skills through academic courses or work experience.
• Excellent oral and written communication skills.
• Working knowledge of finance, securities, broker-dealer services and marketing.
• Thorough knowledge of FINRA, SEC, MSRB, and SIPC rules governing advertising.
• Competency with desktop computers and Microsoft Word.

Responsibilities

• Review highly complex public communications and provide written comments for compliance.
• Respond to letters and inquiries regarding filings reviews and comments.
• Mentor staff and provide coaching and training.
• Ensure quality and timeliness of staff work by monitoring outstanding lists and productivity.
• Provide input on performance appraisals and regulatory information.
• Answer questions from staff, FINRA employees, and firms.
• Learn and keep up-to-date on rule changes affecting advertising and investment products.
• Assist in analysis of communications used as complaints or inquiries.
• Demonstrate FINRA's values and collaborate to support investor protection and market integrity.
• Perform special projects for leadership including reviewing prospectuses and websites.

Skills

Oral and written communication

Finance knowledge

Securities knowledge

Broker-dealer services

Marketing knowledge

Microsoft Word

Education

Bachelor's degree

Senior Analyst advertising regulation experience

Tools

Microsoft Word

Job description

Essential Job Functions

• Reviews a full workload consisting of highly complex communications with the public including retail and institutional sales material submitted by firms pursuant to the filings review program; provides written comments on whether this material complies with applicable rules; and, provides revisions necessary to bring the sales material into compliance.
• Responds to letters and telephone inquiries regarding filing reviews and comments.
• Helps mentor staff members as needed and provides advice, coaching and on-going training
• Assures quality and timeliness of staff member's work by monitoring and reviewing outstanding and response-expected lists, and reviewing work and productivity.
• Provides timely input on performance appraisals and communicates regulatory and administrative information. .
• Answers questions from staff and external customers including other FINRA employees and firms.
• Responds to general telephone inquiries from firms, attorneys, advertising agencies, FINRA District Offices, and regulatory agencies.
• Learns and keeps up-to-date on changes in rules and regulations which impact advertising, new types of investment products and new techniques used to market securities products and services.
• Assists in analysis of communications used by firms received as a complaint or inquiry from the public, firms, district offices or other regulatory organizations.
• Demonstration of FINRA's values.
• Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.

Other Responsibilities

• Performs special projects at the request of the Vice President, directors, or managers including but not limited to reviewing prospectuses and websites for requested information, reviewing statistical data for accuracy and reviewing correspondence.
• Assists in the preparation of related materials for Department outreach programs.
• Prepares minutes of staff meetings.

Education/Experience 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.

Work Conditions

• Hybrid work environment, with defined in-person presence requirements.
• Occasional travel may be required. Extended hours may be required.

For work that is performed in Los Angeles and San Francisco, CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate's skill set, level of experience, education, and market considerations.

• Los Angeles, CA: Minimum Salary $96,600, Maximum Salary $130,000
• San Francisco, CA: Minimum Salary $100,800, Maximum Salary $135,000
• CO/FL/TX: Minimum Salary $83,900, Maximum Salary $150,300
• IL/PA: Minimum Salary $92,400, Maximum Salary $165,300
• MA/MD/VA/Washington, DC: Minimum Salary $96,600, Maximum Salary $172,800
• NY/NJ: Minimum Salary $96,600, Maximum Salary $180,400

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides 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. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

• Based on full-time schedule

Important Information

FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.

All of those accounts are subject to the Code's investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company's policy on nepotism.

FINRA is an Equal Opportunity Employer

All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240-386-4865 or by email at [e-mail]. Please note that this process is exclusively for inquiries regarding accommodations in the application process.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.