Senior Analyst, Advertising Regulation
Core
Reviews firm communications and sales materials for compliance with FINRA, SEC, MSRB, and SIPC advertising rules.
Role type
Senior Analyst, Advertising Regulation
Builds
Ensures investor protection and market integrity through regulatory compliance reviews
Domain
Financial Services / Securities Regulation
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Analytical skills, Knowledge of securities and broker-dealer services, Knowledge of FINRA/SEC/MSRB/SIPC rules, Written communication, Oral communication, Microsoft Word proficiency
Preferred skills
Thorough knowledge of advertising regulations, Experience with complex investment products
Technologies
Microsoft Word
Responsibilities
Review retail and institutional sales material for compliance, Analyze complex filing submissions and investment products, Respond to inquiries from firms and regulatory agencies, Assist investigators in analyzing sales material from complaints, Perform special projects on prospectuses and statistical data
Seniority
Senior, hands-on IC