Principal Analyst, Advertising Regulation

FINRA • Rockville, MD

2d • Hybrid

About The Position

The Principal Analyst independently conducts complex analyses of FINRA firms’ communications with the public, both within FINRA and in coordination with other FINRA departments and regulators. The role supports Associate Directors, Directors, and Senior Directors with quality control, training, and supervision. It also helps ensure analyses are accurate, thorough, and properly apply relevant rules.

The position provides training, coaching, advice, and performance feedback to staff; monitors workflow and task completion; communicates regulatory and administrative information; and responds to questions from colleagues and external customers. The analyst may participate in on-site reviews and examinations and assist with disciplinary matters. The role may also support special projects, represent the department at regulatory policy conferences and meetings, and contribute to FINRA’s mission of investor protection and market integrity.

This is a hybrid position with defined in-person presence requirements. Occasional travel and some extended hours may be required. Salary varies by work location, with published ranges from $94,500 to $211,400 depending on location. Employees may also be eligible for a discretionary bonus.

Requirements

• Bachelor’s degree plus 5 years of related industry experience, 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 demonstrating successful use of analytic and organizational skills.
• Excellent demonstrated oral and written communication skills.
• Knowledge of various types of securities and broker-dealer services and marketing methods.
• In-depth knowledge of FINRA, SEC, MSRB, and SIPC rules and interpretations governing advertising.
• Competency with desktop computers and Microsoft Word.

Responsibilities

• Independently conduct complex analyses of FINRA firms’ communications with the public.
• Conduct routine and complex assessments and analyses, including spot-checks, of firms’ communications.
• Participate in and coordinate joint evaluations of communications with other FINRA departments and regulatory agencies.
• Document analyses and write correspondence.
• Participate in on-site reviews and examinations and assist with all aspects of the disciplinary process as needed.
• Assist the immediate manager with final sign-off of analyses, ensuring accurate rule application, thorough analysis, and appropriate proposed dispositions.
• Provide staff with training, coaching, advice, and performance feedback.
• Monitor workflow and task completion.
• Inform the immediate manager about new issues and practices that may lead to policy changes.
• Provide timely input on team member performance appraisals.
• Communicate regulatory and administrative information to team members and answer questions from team members and external customers.
• Assist the immediate manager with special projects, including rule or interpretation development, planning, procedural or administrative modifications, and corporate initiatives.
• Represent the Department, including through speaking engagements at regulatory policy conferences and meetings.
• Participate and collaborate in support of FINRA’s mission of investor protection and market integrity.

Benefits

• Comprehensive health, dental, and vision insurance.
• Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment insurance.
• Short- and long-term disability, long-term care, business travel accident, and legal insurance.
• Immediate participation and vesting in a 401(k) plan with company match.
• Eligibility to participate in an additional FINRA-funded retirement contribution.
• Tuition reimbursement.
• Commuter benefits.
• Adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
• Paid time off starting at 15 days and increasing with years of service up to 25 days.
• Five personal days and nine sick days.
• Two volunteer service days for employees on a full-time schedule.
• Military, jury duty, bereavement, voting and election official, family member care, childbirth, and parental leave.
• Nine paid holidays for full-time employees.
• Potential eligibility for a discretionary bonus.

What This Job Offers

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