Principal Analyst, Advertising Regulation

FINRA; Los Angeles (CA); Hybrid; USD 95,000 - 142,000; Full time

Benefits offered by this job

Discretionary bonus

Job summary

FINRA seeks an Analyst to independently analyze complex FINRA firms’ communications with the public, and assist in quality control, training and supervision across departments.

You will conduct routine and complex assessments, document findings, participate in on-site reviews and disciplinary processes, and communicate regulatory information with clarity; success relies on strong written and verbal skills, knowledge of securities rules, and collaborative, hybrid teamwork.

Qualifications

• Bachelor’s degree plus 5 years of related industry experience, or equivalent business experience.
• 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.
• Competency with desktop computers and Microsoft Word.

Responsibilities

• Conduct routine and complex assessments of FINRA firms’ communications.
• Coordinate joint evaluations with other FINRA departments and regulators.
• Document analyses and write correspondence.
• Assist in on-site reviews, examinations and disciplinary processes.
• Support manager with final sign-off and ensure accuracy of rule applications.
• Provide training and feedback to staff; monitor workflow.
• Communicate regulatory information to team members; answer questions.

Skills

Analytical skills

Oral and written communication

Independent work

Microsoft Word

Knowledge of securities

Education

Bachelor's degree

Equivalent business experience

Tools

Microsoft Word

Job description

Independently conducts complex analyses of FINRA firms’ communications with the public both independently of, and in conjunction with, other FINRA departments and other regulators. Provides assistance and support to Associate Director, Director, and Senior Director in the areas of quality control, training and supervision.

Essential Job Functions

• Conducts routine and complex assessments and analyses, including spot-checks, of FINRA firms’ communications.
• Participates in and coordinates joint evaluations of communications with other FINRA departments and other regulatory agencies.
• Documents analyses and writes correspondence.
• As needed, participates with other FINRA staff in on-site reviews and examinations and assists in all aspects of the disciplinary process.
• Assists immediate manager in final sign-off of analyses to ensure accuracy of rule applications, thoroughness of analytic process, and propriety of suggested dispositions.
• Provides staff with training, coaching, advice and feedback on performance. Monitors work flow and task completion.
• Informs immediate manager of new issues and practices which may lead to policy changes.
• Provides timely input on team member performance appraisals.
• Communicates regulatory and administrative information to team members.
• Answers questions from team members and external customers including other FINRA employees and firms.
• 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

• Assists immediate manager with special projects such as development of new rules or interpretations, planning, procedural or administrative modifications and corporate initiatives requiring department input and participation.
• Represents the Department, including speaking engagements, at regulatory policy public conferences and meetings.
• Other job related special projects as necessary.

Education/Experience 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 required.
• Excellent demonstrated 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 required.
• Competency with desktop computers and Microsoft Word.

Work Conditions

• Hybrid work environment, with defined in‑person presence requirements.
• Occasional travel may be required for participation in on‑site examinations, provision of expert testimony, presentations at conferences and meetings with other regulators.
• Some 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 $94,500, Maximum Salary $141,700

San Francisco, CA: Minimum Salary $98,600 Maximum Salary $147,900

CO/FL/TX: Minimum Salary $97,700, Maximum Salary $176,100

IL/PA: Minimum Salary $107,500, Maximum Salary $194,100

MA/MD/VA/Washington, DC: Minimum Salary $112,300 Maximum Salary $202,500

NY/NJ: Minimum Salary $112,300, Maximum Salary $211,400

#LI-Hybrid

• 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.

Washington state applicants

click here for required notice(s).

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

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.

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FINRA abides by the requirements of 41 CFR 60-741.5(a)

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)

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.

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