Principal Analyst, Advertising Regulation
Core
Conducts complex analyses and assessments of FINRA firms' communications with the public to ensure compliance with advertising rules and regulations.
Role type
Senior regulatory analyst (advertising compliance)
Builds
Regulatory assessments, correspondence, and policy interpretations for FINRA
Domain
Financial regulation / Securities industry
Deliverable
dashboards & analysis
Required skills
Analytical skills, Written communication, Oral communication, Knowledge of securities marketing, Knowledge of FINRA/SEC/MSRB/SIPC rules, Microsoft Word
Preferred skills
Experience with on-site examinations, Experience with disciplinary processes, Experience with rule development
Technologies
Microsoft Word
Responsibilities
Conduct spot-checks and complex assessments of firms' communications, Coordinate joint evaluations with other regulators, Document analyses and write correspondence, Assist in on-site reviews and examinations, Provide training and coaching to staff, Inform management of new issues leading to policy changes, Represent the department at public conferences
Seniority
Senior, hands-on IC with mentorship duties