Associate Principal Analyst, Advertising Regulation
Core
Independently reviews complex public communications submitted by firms for compliance with FINRA, SEC, MSRB, and SIPC advertising rules and regulations.
Role type
Associate Principal Analyst, Advertising Regulation
Builds
Compliance determinations and revised sales materials for retail and institutional firms
Domain
Financial Services / Securities Regulation
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Analytical skills, Oral and written communication, Knowledge of securities and broker-dealer services, Knowledge of FINRA/SEC/MSRB/SIPC advertising rules, Desktop computer proficiency
Preferred skills
Academic courses or work experience in analytical skills
Responsibilities
Reviewing and providing written comments on complex sales material, Responding to inquiries regarding filing reviews, Mentoring staff and providing training, Monitoring staff work quality and timeliness, Assisting in analysis of communications received as complaints or inquiries, Performing special projects on prospectuses and websites
Seniority
Mid-Senior, hands-on IC