Senior Advertising Regulation Analyst

Financial Industry Regulatory Authority, Inc.; Rockville (MD); Hybrid; USD 83,000 - 149,000; Full time

Benefits offered by this job

Health, dental, vision insurance

401(k) with company match

Tuition reimbursement

Commuter benefits

Wellness programs

Volunteer service days

Job summary

FINRA seeks a detail-oriented analyst to review communications with the public for compliance with advertising rules. You will provide written comments, revisions, and guidance to ensure filings meet FINRA, SEC, MSRB, and SIPC standards.

The role involves analyzing complex submissions and responding to inquiries from firms and regulators. Hybrid work environment with travel, ongoing training, and opportunities to contribute to regulatory outreach.

Qualifications

• Bachelor's degree plus four years of related industry experience, or equivalent business experience; or successful completion of at least two years as an Advertising Regulation Department Analyst.

Responsibilities

• Review communications with the public for compliance with FINRA, SEC, MSRB and SIPC rules.
• Provide written comments and revisions to bring materials into compliance.
• Analyze complex filing submissions and investment products.
• Respond to inquiries from firms, attorneys, and regulators.
• Attend staff meetings and participate in department outreach.

Skills

Oral and written communication

Finance knowledge

Securities regulatory knowledge

MS Office (Microsoft Word)

Education

Bachelor's degree + 4 years related industry experience

Tools

Microsoft Word

Job description

FINRA seeks a detail-oriented analyst to review communications with the public for compliance with advertising rules. You will provide written comments, revisions, and guidance to ensure filings meet FINRA, SEC, MSRB, and SIPC standards.

The role involves analyzing complex submissions and responding to inquiries from firms and regulators. Hybrid work environment with travel, ongoing training, and opportunities to contribute to regulatory outreach.