Senior Analyst, Advertising Regulation
About The Position
With limited supervision and guidance, as needed, reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Essential Job Functions: Reviews a full workload consisting of communications with the public including retail and institutional sales material submitted by firms pursuant to the filings review program, provides written comments on whether this material complies with applicable rules and provides revisions necessary to bring the sales material into compliance. Analyzes and reviews complex filing submissions and investment products. Responds to letters and telephone inquiries regarding filing reviews and comments. Attends weekly and monthly staff meetings. Responds to general telephone inquiries from firms, attorneys, advertising agencies, FINRA District Offices and regulatory agencies. Completes the Advertising Regulation Training Program and demonstrates knowledge acquired by successful application of the concepts covered by the training in the review process. Learns and keeps up-to-date on changes in rules and regulations which impact advertising, new types of investment products and new techniques used to market securities products and services. Assists investigators in analysis of sales material received as a complaint or inquiry from the public, firms, district offices or other regulatory organizations. 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: Performs special projects at the request of the Vice President, directors, or managers including but not limited to reviewing prospectuses and websites for requested information, reviewing statistical data for accuracy and reviewing correspondence. Assists in the preparation of related materials for Department outreach programs. Assists in the preparation of staff meeting minutes.
Requirements
- 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.
- Excellent demonstrated oral and written communication skills.
- Working knowledge of finance, various types of securities and broker-dealer services and methods of marketing required.
- Competency with desktop computers and Microsoft Word.
Nice To Haves
- Academic courses or work experience showing successful use of analytical skills preferred.
- Thorough knowledge of FINRA, SEC, MSRB, and SIPC rules governing advertising preferred.
Responsibilities
- Reviews a full workload consisting of communications with the public including retail and institutional sales material submitted by firms pursuant to the filings review program, provides written comments on whether this material complies with applicable rules and provides revisions necessary to bring the sales material into compliance.
- Analyzes and reviews complex filing submissions and investment products.
- Responds to letters and telephone inquiries regarding filing reviews and comments.
- Attends weekly and monthly staff meetings.
- Responds to general telephone inquiries from firms, attorneys, advertising agencies, FINRA District Offices and regulatory agencies.
- Completes the Advertising Regulation Training Program and demonstrates knowledge acquired by successful application of the concepts covered by the training in the review process.
- Learns and keeps up-to-date on changes in rules and regulations which impact advertising, new types of investment products and new techniques used to market securities products and services.
- Assists investigators in analysis of sales material received as a complaint or inquiry from the public, firms, district offices or other regulatory organizations.
- Demonstration of FINRA’s values.
- Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
- Performs special projects at the request of the Vice President, directors, or managers including but not limited to reviewing prospectuses and websites for requested information, reviewing statistical data for accuracy and reviewing correspondence.
- Assists in the preparation of related materials for Department outreach programs.
- Assists in the preparation of staff meeting minutes.
Benefits
- Discretionary bonus
- Overtime pay
- Health insurance
- Dental insurance
- Vision insurance
- Basic life insurance
- Accidental death and dismemberment insurance
- Supplemental life insurance
- Spouse/domestic partner and dependent life insurance
- Spouse/domestic partner and dependent accidental death and dismemberment insurance
- Short-term disability insurance
- Long-term disability insurance
- Long-term care insurance
- Business travel accident insurance
- Legal insurance
- 401(k) plan with company match
- FINRA-funded retirement contribution
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance program
- Wellness programs
- 15 days of paid time off
- 5 personal days
- 9 sick days
- Two volunteer service days
- Military leave
- Jury duty leave
- Bereavement leave
- Voting and election official leave
- Care of a family member leave
- Childbirth and parental leave
- Nine paid holidays
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What This Job Offers
Job Type
Full-time
Career Level
Senior
