Associate Principal Analyst, Advertising Regulation

Financial Industry Regulatory Authority, Inc.; Rockville (MD); Hybrid; USD 96,600 - 172,800; Full time

Benefits offered by this job

Eligibility for discretionary bonus

Health, dental, and vision insurance

401(k) plan with company match

Tuition reimbursement

Paid time off and other leave options

Job summary

The Financial Industry Regulatory Authority, Inc. seeks a compliance professional located in Rockville, Maryland. This role involves mentoring staff and performing complex reviews of communications with the public regarding compliance with regulatory standards.

Applicants should possess a Bachelor's degree and extensive experience in the industry, along with excellent communication skills and strong knowledge of advertising rules. The position offers a hybrid work environment.

Qualifications

• Bachelor's degree plus five years of related industry experience, or equivalent.
• Academic courses or work experience showing strong analytical skills (preferred).
• Thorough knowledge of FINRA, SEC, MSRB, and SIPC advertising rules.

Responsibilities

• Mentor staff by monitoring work quality and providing training.
• Conduct complex reviews of communications submitted by firms.
• Handle a workload of highly complex retail sales material.

Skills

Strong analytical skills

Excellent oral and written communication skills

Knowledge of finance and marketing methods

Competence with desktop computers

Education

Bachelor's degree

Tools

Microsoft Word

Job description

Job Overview

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

Responsibilities

• Mentor staff by monitoring work quality, quantity, and timeliness, providing training and communication.
• Conduct complex reviews and spot‑checks as needed.
• Handle a full workload of highly complex retail and institutional sales material under the filings review program, provide written comments on compliance, and draft necessary revisions.
• Respond to letters and telephone inquiries regarding filing reviews and comments.
• Mentor staff, provide advice, coaching, and ongoing training.
• Ensure quality and timeliness by monitoring outstanding lists and reviewing productivity.
• Provide input on performance appraisals and communicate regulatory and administrative information.
• Answer questions from staff and external customers—including FINRA employees and firms.
• Handle general telephone inquiries from firms, attorneys, advertising agencies, FINRA District Offices, and regulatory agencies.
• Keep current on rule changes affecting advertising, new investment products, and emerging marketing techniques.
• Assist in analyzing communications received as complaints or inquiries from the public, firms, district offices, or other regulatory organizations.
• Perform special projects requested by the Vice President, directors, or managers, such as reviewing prospectuses, websites, statistical data, outreach materials, and staff meeting minutes.

Qualifications

• Bachelor's degree plus five years of related industry experience, or equivalent business experience; or completion of at least one year as a Senior Analyst in the Advertising Regulation Department.
• Academic courses or work experience showing strong analytical skills (preferred).
• Excellent oral and written communication skills.
• Working knowledge of finance, securities, broker‑dealer services, and marketing methods.
• Thorough knowledge of FINRA, SEC, MSRB, and SIPC advertising rules.
• Competent with desktop computers and Microsoft Word.

Work Conditions & Compensation

Hybrid work environment with defined in‑person presence requirements; occasional travel and extended hours may be required.

Salary ranges by location (minimum to maximum):

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

Benefits

• Eligibility for discretionary bonus in addition to base pay.
• Health, dental, and vision insurance.
• 401(k) plan with company match and additional retirement contributions.
• Tuition reimbursement, commuter benefits, and other wellness programs.
• Paid time off, sick days, military leave, jury duty leave, bereavement leave, voting leave, parental leave, and other leave options.

Legal & Regulatory Requirements

All employees must comply with FINRA’s Code of Conduct, investment restrictions, and disclosure obligations. Employees are required to disclose brokerage accounts and maintain them through firms that provide an electronic feed.

Equal Opportunity Employer

FINRA is an equal‑opportunity employer. All qualified applicants receive consideration for employment without regard to any legally protected category.