Principal Analyst, Advertising Regulation

FINRA; Rockville (MD); On-site; USD 112,300 - 202,500; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

401(k) with company match

Tuition reimbursement

Commuter benefits

Job summary

FINRA seeks an experienced analyst to independently conduct complex analyses of firms’ communications, supporting the Associate Director and Senior Director in quality control, training and supervision. The role collaborates with other FINRA departments and regulators, documents analyses, and participates in disciplinary processes as needed.

Responsibilities include on-site reviews, final sign-off of analyses, staff coaching, and timely communication of regulatory information.

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.
• Demonstrated ability to work independently and in groups; strong analytic and organizational skills.

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 process.
• Assist manager in final sign-off of analyses for accuracy and propriety.
• Provide staff with training, coaching, and feedback.
• Inform manager of new issues affecting policy.
• Contribute to performance appraisals and regulatory communications.
• Respond to questions from team members and external customers.

Skills

Analytical skills

Oral and written communication

Knowledge of securities and broker-dea

Education

Bachelor’s degree

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 salary range for the corresponding location.

• Los Angeles, CA: Minimum Salary $112,300, Maximum Salary $142,430
• San Francisco, CA: Minimum Salary $117,200, Maximum Salary $148,622
• 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

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, 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.

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.
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.