Senior Analyst, Advertising Regulation & Policy

Financial Industry Regulatory Authority, Inc.; New York (NY); Hybrid; USD 112,000 - 211,000; Full time

Job summary

FINRA is seeking an experienced professional to independently conduct analyses of FINRA firms’ communications and participate in joint evaluations with other departments and regulators. The role supports training, supervision, and final sign-offs to ensure accuracy of rule applications.

The position requires a Bachelor's degree plus 5 years of related experience, strong written and oral communication skills, and in-depth knowledge of FINRA, SEC, MSRB, and SIPC advertising rules.

Qualifications

• Bachelor's degree plus 5 years of related industry experience, or equivalent business experience.
• Excellent oral and written communication skills.
• Knowledge of FINRA, SEC, MSRB and SIPC rules governing advertising.

Responsibilities

• Conducts routine and complex assessments of FINRA firms’ communications.
• Documents analyses and writes correspondence.
• Coordinates joint evaluations with other FINRA departments and regulators.
• Assists in on-site reviews and examinations and supports the disciplinary process.
• Provides training and feedback to team members and assists in performance appraisals.

Skills

Analytical skills

Independent work

Oral and written communication

Regulatory knowledge

Securities knowledge

Education

Bachelor's degree

Tools

Microsoft Word

Job description

FINRA is seeking an experienced professional to independently conduct analyses of FINRA firms’ communications and participate in joint evaluations with other departments and regulators. The role supports training, supervision, and final sign-offs to ensure accuracy of rule applications.

The position requires a Bachelor's degree plus 5 years of related experience, strong written and oral communication skills, and in-depth knowledge of FINRA, SEC, MSRB, and SIPC advertising rules.