Associate Principal Analyst, Advertising Regulation

Independently reviews communications with the public submitted by firms for compliance with the FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring work quality, quantity and timeliness, by providing training and communicating information. Conducts complex reviews and spot-checks on an as-needed basis. Essential Job Functions Reviews a full workload consisting of highly complex communications with the public including retail and institutional sales material submitted by firms pursuant to the filings review program; provides written comments on whether this material complies with applicable rules; and, provides revisions necessary to bring the sales material into compliance. Responds to letters and telephone inquiries regarding filing reviews and comments. Helps mentor staff members as needed and provides advice, coaching and on-going training. Assures quality and timeliness of staff member’s work by monitoring and reviewing outstanding and response-expected lists, and reviewing work and productivity. Provides timely input on performance appraisals and communicates regulatory and administrative information. Answers questions from staff and external customers including other FINRA employees and firms. Responds to general telephone inquiries from firms, attorneys, advertising agencies, FINRA District Offices, and regulatory agencies. Learns and keeps up-to-date on changes in rules and regulations which impact advertising, new types of investment products and new techniques used to market securities products and services. Assists in analysis of communications used by firms received as a complaint or inquiry from the public, firms, district offices or other regulatory organizations. Demonstration of FINRA’s values. Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity. Other Responsibilities Performs special projects at the request of the Vice President, directors, or managers including but not limited to reviewing prospectuses and websites for requested information, reviewing statistical data for accuracy and reviewing correspondence. Assists in the preparation of related materials for Department outreach programs. Prepares minutes of staff meetings. Education/Experience Requirements Bachelor’s degree plus five years of related industry experience, or equivalent business experience; or successful completion of at least one year as a Senior Analyst in the Advertising Regulation Department. Academic courses or work experience showing successful use of analytical skills preferred. Excellent demonstrated oral and written communication skills. Working knowledge of finance, various types of securities and broker-dealer services and methods of marketing required. Thorough knowledge of FINRA, SEC, MSRB, and SIPC rules governing advertising required. Competency with desktop computers and Microsoft Word. Work Conditions Hybrid work environment, with defined in-person presence requirements. Occasional travel may be required. Extended hours may be required. For work that is performed in Los Angeles, San Francisco, CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations. Los Angeles, CA: Minimum Salary $96,600, Maximum Salary $130,000 San Francisco, CA: Minimum Salary $100,800, Maximum Salary $135,000 CO/FL/TX: Minimum Salary $83,900, Maximum Salary $150,300 IL/PA: Minimum Salary $92,400, Maximum Salary $165,300 MA/MD/VA/Washington, DC: Minimum Salary $96,600, Maximum Salary $172,800 NY/NJ: Minimum Salary $96,600, Maximum Salary $180,400 #LI-Hybrid Benefits Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, short and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs. Time Off and Paid Leave: FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays. Important Information FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment. As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism. 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