Principal Analyst, Advertising Regulation

FINRA • Rockville, MD

22h • Hybrid

About The Position

Independently conducts complex analyses of FINRA firms’ communications with the public both independently of, and in conjunction with, other FINRA departments and other 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 other regulatory agencies. Documents analyses and writes correspondence. As needed, 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 which 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. Demonstration of FINRA’s values. Collaboration, both in-person and virtually, in furtherance of 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, including speaking engagements, at regulatory policy public conferences and meetings. Other job related special projects as necessary.

Requirements

• Bachelor's degree plus 5 years of related industry experience, or equivalent business experience, or successful completion of at least 1 year as an Associate Principal Analyst.
• Demonstrated ability to work independently and in groups.
• Work experience showing successful use of analytic and organizational skills required.
• Excellent demonstrated oral and written communication skills.
• Knowledge of various types of securities and broker-dealer services and methods of marketing required.
• In-depth knowledge of FINRA, SEC, MSRB and SIPC rules and interpretations governing advertising required.
• Competency with desktop computers and Microsoft Word.

Responsibilities

• 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 other regulatory agencies.
• Documents analyses and writes correspondence.
• As needed, 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 which 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.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
• 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, including speaking engagements, at regulatory policy public conferences and meetings.
• Other job related special projects as necessary.

Benefits

• Employees may be eligible for a discretionary bonus in addition to base pay.
• Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law.
• As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance.
• Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.
• FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
• Time Off and Paid Leave FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year).
• Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule).
• Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment).
• Full-time employees receive nine paid holidays.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level