Principal Analyst, Advertising Regulation

Financial Industry Regulatory Authority, Inc.; Rockville (MD); On-site; USD 75,000 - 110,000; Full time

Benefits offered by this job

Health, dental, vision insurance

401(k) with company match

Tuition reimbursement

Paid time off & holidays

Job summary

FINRA is seeking an experienced analyst to independently conduct complex analyses of firms’ communications with the public and assist senior leadership in quality control, training, and supervision. The role includes coordinating with other FINRA departments and regulators, documenting analyses, and supporting on-site reviews and disciplinary processes.

The position requires aBachelor’s degree plus five years of related industry experience, or equivalent, and strong written/oral communication

Qualifications

• Bachelor’s degree plus five years of related industry experience, or equivalent business experience, or successful completion of at least one 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 oral and written communication skills.
• Knowledge of various types of securities and broker‑dealer services and marketing methods.
• In‑depth knowledge of FINRA, SEC, MSRB and SIPC rules and interpretations governing advertising.
• Competency with desktop computers and Microsoft Word.

Responsibilities

• Conducts routine and complex assessments and analyses of FINRA firms’ communications.
• Participates in and coordinates joint evaluations of communications with other FINRA departments and regulatory agencies.
• Documents analyses and writes correspondence.
• 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 that 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.
• Demonstrates FINRA’s values in all interactions.
• Collaborates to advance FINRA’s mission of investor protection and market integrity.

Skills

Analytical skills

Oral communication

Written communication

Team coordination

Regulatory awareness

Education

Bachelor’s degree with 5+ years experience

Tools

Microsoft Word

Job description

Job Summary

Independently conducts complex analyses of FINRA firms’ communications with the public, both independently and in conjunction with other FINRA departments and 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 regulatory agencies.
• Documents analyses and writes correspondence.
• 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 that 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.
• Demonstrates FINRA’s values in all interactions.
• Collaborates, both in‑person and virtually, to advance 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 in speaking engagements at regulatory policy conferences and meetings.
• Engages in other job‑related special projects as necessary.

Education and Experience Requirements

• Bachelor’s degree plus five years of related industry experience, or equivalent business experience, or successful completion of at least one 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 oral and written communication skills.
• Knowledge of various types of securities and broker‑dealer services and marketing methods.
• In‑depth knowledge of FINRA, SEC, MSRB and SIPC rules and interpretations governing advertising.
• Competency with desktop computers and Microsoft Word.

Work Conditions

• Hybrid work environment with defined in‑person presence requirements.
• Occasional travel for on‑site examinations, expert testimony, conferences, and meetings with other regulators.
• Some extended hours may be required.

Benefits

• Comprehensive health, dental, and vision insurance.
• Basic life, accidental death and dismemberment, supplemental life, and spouse/domestic partner life insurance.
• Short‑ and long‑term disability, long‑term care, and business travel accident coverage.
• 401(k) plan with company match and eligibility for additional FINRA‑funded retirement contributions.
• Tuition reimbursement and commuter benefits.
• Employee assistance, wellness programs, and adoption assistance.
• Paid time off: 15 days paid time off, 5 personal days, 9 sick days, and 9 paid holidays.
• Additional leave: military, jury duty, bereavement, voting, childcare after 90 days, and parental leave after 90 days.
• Volunteer service days for community support.

Equal Opportunity Employer Statement

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.