Associate Principal Analyst, Advertising Regulation

Advertising Compliance Reviewer

Independently reviews communications with the public submitted by firms for compliance with 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 1 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.