Senior Regulatory Review Analyst – Advertising

FINRA; Rockville (MD); Hybrid; USD 97,000 - 173,000; Full time

Benefits offered by this job

Health, dental, and vision insurance

401(k) with company match

Tuition reimbursement

Commuter benefits

Adoption assistance

Wellness programs

Volunteer service days

Job summary

FINRA is seeking a Senior Analyst in the Advertising Regulation Department to review highly complex public communications for compliance with FINRA, SEC, MSRB and SIPC rules. You will respond to inquiries, mentor staff, and ensure timely, high-quality output while staying current on regulatory changes.

Hybrid work environment with travel as needed. The role requires a Bachelor's degree plus five years of related experience or equivalent, and strong communication and analytical skills.

Qualifications

• Bachelor's degree plus five years of related industry experience, or equivalent business experience.
• Analytical skills through academic courses or work experience.
• Excellent oral and written communication skills.
• Working knowledge of finance, securities, broker-dealer services and marketing.
• Thorough knowledge of FINRA, SEC, MSRB, and SIPC rules governing advertising.
• Competency with desktop computers and Microsoft Word.

Responsibilities

• Review highly complex public communications and provide written comments for compliance.
• Respond to letters and inquiries regarding filings reviews and comments.
• Mentor staff and provide coaching and training.
• Ensure quality and timeliness of staff work by monitoring outstanding lists and productivity.
• Provide input on performance appraisals and regulatory information.
• Answer questions from staff, FINRA employees, and firms.
• Learn and keep up-to-date on rule changes affecting advertising and investment products.
• Assist in analysis of communications used as complaints or inquiries.
• Demonstrate FINRA's values and collaborate to support investor protection and market integrity.
• Perform special projects for leadership including reviewing prospectuses and websites.

Skills

Oral and written communication

Finance knowledge

Securities knowledge

Broker-dealer services

Marketing knowledge

Microsoft Word

Education

Bachelor's degree

Senior Analyst advertising regulation experience

Tools

Microsoft Word

Job description

FINRA is seeking a Senior Analyst in the Advertising Regulation Department to review highly complex public communications for compliance with FINRA, SEC, MSRB and SIPC rules. You will respond to inquiries, mentor staff, and ensure timely, high-quality output while staying current on regulatory changes.

Hybrid work environment with travel as needed. The role requires a Bachelor's degree plus five years of related experience or equivalent, and strong communication and analytical skills.