Principal Analyst, Advertising Regulation
Core
Conducts complex analyses and assessments of FINRA firms' communications with the public to ensure compliance with advertising rules and protect investor interests.
Role type
Senior IC regulatory analyst (advertising compliance)
Builds
Regulatory assessments, correspondence, and policy interpretations for FINRA
Domain
Financial regulation / Securities advertising compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Analytical skills, written communication, oral communication, knowledge of securities and broker-dealer services, knowledge of FINRA/SEC/MSRB/SIPC rules, Microsoft Word
Preferred skills
Experience with on-site reviews, experience with disciplinary processes, experience with rule development
Technologies
Microsoft Word
Responsibilities
Conduct routine and complex assessments and analyses of FINRA firms' communications, coordinate joint evaluations with other departments and regulators, document analyses and write correspondence, assist in on-site reviews and examinations, provide training and coaching to staff, inform manager of new issues leading to policy changes, represent the Department at public conferences and meetings
Seniority
Senior, hands-on IC