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
Required skills
Analytical skills, Oral communication, Written communication, Knowledge of securities and broker-dealer services, Knowledge of FINRA/SEC/MSRB/SIPC rules, Microsoft Word
Preferred skills
Academic courses in analytical skills, Experience with new investment products and marketing techniques
Technologies
Microsoft Word
Responsibilities
Reviews and provides written comments on complex sales material for compliance; Responds to letters and telephone inquiries regarding filing reviews; Mentors staff by monitoring work quality and providing training; Assures quality and timeliness of staff work; Performs special projects such as reviewing prospectuses and websites; Prepares minutes of staff meetings
Seniority
Senior, hands-on IC