Principal Analyst, Advertising Regulation

Jobtailor; California (MO); On-site; USD 85,000 - 125,000; Full time

Job summary

Jobtailor is seeking an experienced Associate Analyst to conduct routine and complex assessments of FINRA firms’ communications, coordinate with regulatory agencies, and document analyses.

The role involves on-site reviews, assisting in disciplinary processes, providing training, and ensuring accurate rule applications while upholding investor protection.

Strong communication, deep FINRA/SEC/MSRB/SIPC knowledge, and the ability to work independently or with teams are essential.

Qualifications

• Bachelor's degree required; 5 years of related industry experience or equivalent business experience; or successful completion of at least 1 year as an Associate Principal Analyst.

Responsibilities

• Conduct routine and complex assessments and analyses of FINRA firms’ communications.
• Coordinate joint evaluations with other FINRA departments and regulatory agencies.
• Document analyses and write correspondence.
• Participate in on-site reviews and examinations.
• Assist in all aspects of the disciplinary process.
• Assist the immediate manager with final sign-off of analyses for rule application accuracy and dispositions.
• Provide staff training, coaching, advice, and performance feedback.
• Monitor workflow and task completion.
• Inform the immediate manager of new issues and practices that may lead to policy changes.
• Provide input on team member performance appraisals.
• Communicate regulatory and administrative information to the team.
• Answer questions from team members and external customers, including FINRA employees and firms.
• Collaborate in person and virtually to protect investors and uphold market integrity.
• Assist with special projects involving new rules or interpretations, planning, or administrative modifications.
• Represent the Department, including speaking engagements at regulatory policy conferences and meetings.
• Complete other job-related special projects as necessary

Skills

Analytical skills

Oral and written communication

Independent work

Group collaboration

Coaching and training

Regulatory compliance

Document writing

Performance feedback

Workflow monitoring

Securities knowledge

Broker-dealer services knowledge

Education

Bachelor's degree

Tools

Microsoft Word

Desktop computers

Job description

• Conduct routine and complex assessments and analyses, including spot-checks, of FINRA firms’ communications
• Participate in and coordinate joint evaluations with other FINRA departments and regulatory agencies
• Document analyses and write correspondence
• Participate in on-site reviews and examinations
• Assist in all aspects of the disciplinary process
• Assist the immediate manager with final sign-off of analyses for rule application accuracy, analytic thoroughness, and appropriate dispositions
• Provide staff training, coaching, advice, and performance feedback
• Monitor workflow and task completion
• Inform the immediate manager of new issues and practices that may lead to policy changes
• Provide timely input on team member performance appraisals
• Communicate regulatory and administrative information to team members
• Answer questions from team members and external customers, including FINRA employees and firms
• Collaborate in person and virtually in furtherance of investor protection and market integrity
• Assist with special projects involving new rules or interpretations, planning, procedural or administrative modifications, and corporate initiatives
• Represent the Department, including through speaking engagements at regulatory policy conferences and meetings
• Complete other job-related special projects as necessary

Requirements

• 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
• Demonstrated ability to work independently and in groups
• Work experience showing successful use of analytic and organizational skills
• Excellent demonstrated oral and written communication skills
• Knowledge of various types of securities and broker-dealer services and methods of marketing
• In-depth knowledge of FINRA, SEC, MSRB and SIPC rules and interpretations governing advertising
• Competency with desktop computers and Microsoft Word
• Occasional travel may be required
• Some extended hours may be required
• FINRA employees must disclose applicable brokerage accounts and comply with FINRA investment and securities account restrictions
• New employees must comply with investment restrictions by their employment start date
• Securities accounts subject to disclosure must be maintained at securities firms providing an electronic feed to FINRA, with transfers completed within three months of starting employment
• Employees must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification
• Employees must comply with the company’s policy on nepotism

Core Competencies

Demonstrates strong analytical and organizational skills with a deep understanding of FINRA, SEC, MSRB, and SIPC rules. Capable of effective communication and collaboration to ensure compliance and enhance investor protection.

Highest-signal resume keywords

• FINRA Rules Knowledge
• Analytic Skills
• Oral and Written Communication Skills
• Team Collaboration
• Securities and Broker-Dealer Services Knowledge

ATS Optimization Keywords

Hard Skills

• Analytical Assessments
• Document Writing
• Performance Feedback
• Regulatory Compliance
• Workflow Monitoring

Soft Skills

• Independent Work
• Group Collaboration
• Coaching and Training

Industry Keywords

• Securities
• Broker-Dealer Services
• Advertising Rules
• Investor Protection
• Market Integrity

Tools & Technologies

• Microsoft Word
• Desktop Computers