Senior Advertising Compliance Analyst

FINRA; Denver (CO); Hybrid; USD 84,000 - 150,000; Full time

Benefits offered by this job

Health, dental & vision insurance

401(k) with company match

Tuition reimbursement

Commuter benefits

Wellness programs

Job summary

FINRA in Denver, CO is seeking a qualified analyst to independently review communications with the public for compliance with FINRA, SEC, MSRB and SIPC advertising rules. The role includes mentoring staff, training, and conducting complex reviews and spot checks to ensure timely, high-quality output.

The candidate should have a bachelor's degree with five years of related experience, strong written and verbal communication skills, and solid knowledge of securities and broker-dealer marketing

Qualifications

• Bachelor’s degree plus five years of related industry experience, or equivalent business experience; or successful completion of at least 1 year as a Senior Analyst in the Advertising Regulation Department.
• Excellent demonstrated oral and written communication skills.
• Working knowledge of finance, various types of securities and broker‑dealer services and methods of marketing required.
• Thorough knowledge of FINRA, SEC, MSRB, and SIPC rules governing advertising required.
• Competency with desktop computers and Microsoft Word.

Responsibilities

• Reviews a full workload consisting of highly complex communications with the public including retail and institutional sales material submitted by firms pursuant to the filings review program; provides written comments on whether this material complies with applicable rules; and, provides revisions necessary to bring the sales material into compliance.
• Responds to letters and telephone inquiries regarding filing reviews and comments.
• Helps mentor staff members as needed and provides advice, coaching and on‑going training
• Assures quality and timeliness of staff member’s work by monitoring and reviewing outstanding and response‑expected lists, and reviewing work and productivity.
• Provides timely input on performance appraisals and communicates regulatory and administrative information.
• Answers questions from staff and external customers including other FINRA employees and firms.
• Responds to general telephone inquiries from firms, attorneys, advertising agencies, FINRA District Offices, and regulatory agencies.
• Learns and keeps up‑to‑date on changes in rules and regulations which impact advertising, new types of investment products and new techniques used to market securities products and services.
• Assists in analysis of communications used by firms received as a complaint or inquiry from the public, firms, district offices or other regulatory organizations.
• Demonstration of FINRA’s values.
• Collaboration, both in‑person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Skills

Regulatory knowledge

Communication skills

MS Word

Education

Bachelor's degree + 5 years experience

Job description

FINRA in Denver, CO is seeking a qualified analyst to independently review communications with the public for compliance with FINRA, SEC, MSRB and SIPC advertising rules. The role includes mentoring staff, training, and conducting complex reviews and spot checks to ensure timely, high-quality output.

The candidate should have a bachelor's degree with five years of related experience, strong written and verbal communication skills, and solid knowledge of securities and broker-dealer marketing