Hybrid Principal Analyst: Advertising Regulation

FINRA; Rockville (MD); Hybrid; USD 112,000 - 203,000; Full time

Benefits offered by this job

Health insurance

401(k) with company match

Tuition reimbursement

Wellness programs

Volunteer days

Job summary

FINRA in Rockville, MD seeks an experienced analyst to independently analyze FINRA firms’ communications and support senior leadership with quality control and training. The role focuses on reviewing advertising under FINRA Rule 2210 and coordinating evaluations with other departments and regulators.

The ideal candidate will have strong analytic and written communication skills, a Bachelor's degree with relevant experience, and the ability to work both independently and as part of a team.

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.
• Ability to work independently and in groups.
• Strong analytic and organizational skills.
• Excellent oral and written communication skills.
• Knowledge of various types of securities and broker-dealer services and methods of marketing required.
• In-depth knowledge of FINRA, SEC, MSRB and SIPC rules and interpretations governing advertising.
• Competency with desktop computers and Microsoft Word.

Responsibilities

• Conduct routine and complex assessments and analyses, including spot-checks, of FINRA firms’ communications.
• Participate in and coordinate joint evaluations of communications with other FINRA departments and other regulatory agencies.
• Document analyses and writes correspondence.
• Assist in on-site reviews and examinations and assists in all aspects of the disciplinary process.
• Assist immediate manager in final sign-off of analyses to ensure accuracy of rule applications, thoroughness of analytic process, and propriety of suggested dispositions.
• Provide staff with training, coaching, advice and feedback on performance.

Skills

Analytical skills

Communication skills

Teamwork

Education

Bachelor's degree

Associate Principal Analyst experience

Tools

Microsoft Word

Job description

FINRA in Rockville, MD seeks an experienced analyst to independently analyze FINRA firms’ communications and support senior leadership with quality control and training. The role focuses on reviewing advertising under FINRA Rule 2210 and coordinating evaluations with other departments and regulators.

The ideal candidate will have strong analytic and written communication skills, a Bachelor's degree with relevant experience, and the ability to work both independently and as part of a team.