Principal Analyst, Advertising Regulation

Conduct routine and complex assessments and analyses, including spot-checks, of FINRA firms’ communications Participate in and coordinate joint evaluations with other FINRA departments and regulatory agencies Document analyses and write correspondence Participate in on-site reviews and examinations Assist in all aspects of the disciplinary process Assist the immediate manager with final sign-off of analyses for rule application accuracy, analytic thoroughness, and appropriate dispositions Provide staff training, coaching, advice, and performance feedback Monitor workflow and task completion Inform the immediate manager of new issues and practices that may lead to policy changes Provide timely input on team member performance appraisals Communicate regulatory and administrative information to team members Answer questions from team members and external customers, including FINRA employees and firms Collaborate in person and virtually in furtherance of investor protection and market integrity Assist with special projects involving new rules or interpretations, planning, procedural or administrative modifications, and corporate initiatives Represent the Department, including through speaking engagements at regulatory policy conferences and meetings Complete other job-related special projects as necessary Requirements Bachelor's degree plus 5 years of related industry experience, or equivalent business experience, or successful completion of at least 1 year as an Associate Principal Analyst Demonstrated ability to work independently and in groups Work experience showing successful use of analytic and organizational skills Excellent demonstrated oral and written communication skills Knowledge of various types of securities and broker-dealer services and methods of marketing In-depth knowledge of FINRA, SEC, MSRB and SIPC rules and interpretations governing advertising Competency with desktop computers and Microsoft Word Occasional travel may be required Some extended hours may be required FINRA employees must disclose applicable brokerage accounts and comply with FINRA investment and securities account restrictions New employees must comply with investment restrictions by their employment start date Securities accounts subject to disclosure must be maintained at securities firms providing an electronic feed to FINRA, with transfers completed within three months of starting employment Employees must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification Employees must comply with the company’s policy on nepotism Core Competencies Demonstrates strong analytical and organizational skills with a deep understanding of FINRA, SEC, MSRB, and SIPC rules. Capable of effective communication and collaboration to ensure compliance and enhance investor protection. Highest-signal resume keywords FINRA Rules Knowledge Analytic Skills Oral and Written Communication Skills Team Collaboration Securities and Broker-Dealer Services Knowledge ATS Optimization Keywords Hard Skills Analytical Assessments Document Writing Performance Feedback Regulatory Compliance Workflow Monitoring Soft Skills Independent Work Group Collaboration Coaching and Training Industry Keywords Securities Broker-Dealer Services Advertising Rules Investor Protection Market Integrity Tools & Technologies Microsoft Word Desktop Computers #J-18808-Ljbffr Jobtailor