Principal Analyst, Advertising Regulation

Independently conducts complex analyses of FINRA firms’ communications with the public both independently of, and in conjunction with, other FINRA departments and other regulators. Provides assistance and support to Associate Director, Director, and Senior Director in the areas of quality control, training and supervision.

Essential Job Functions:

Conducts routine and complex assessments and analyses, including spot-checks, of FINRA firms’ communications.

Participates in and coordinates joint evaluations of communications with other FINRA departments and other regulatory agencies.

Documents analyses and writes correspondence.

As needed, participates with other FINRA staff in on-site reviews and examinations and assists in all aspects of the disciplinary process.

Assists immediate manager in final sign-off of analyses to ensure accuracy of rule applications, thoroughness of analytic process, and propriety of suggested dispositions.

Provides staff with training, coaching, advice and feedback on performance. Monitors work flow and task completion.

Informs immediate manager of new issues and practices which may lead to policy changes.

Provides timely input on team member performance appraisals.

Communicates regulatory and administrative information to team members.

Answers questions from team members and external customers including other FINRA employees and firms.

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:

Assists immediate manager with special projects such as development of new rules or interpretations, planning, procedural or administrative modifications and corporate initiatives requiring department input and participation. Represents the Department, including speaking engagements, at regulatory policy public conferences and meetings. Other job related special projects as necessary.

Education/Experience 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 required. Excellent demonstrated oral and written communication skills. Knowledge of various types of securities and broker-dealer services and methods of marketing required.

In-depth knowledge of FINRA, SEC, MSRB and SIPC rules and interpretations 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 for participation in on-site examinations, provision of expert testimony, presentations at conferences and meetings with other regulators. Some extended hours may be required.

For work that is performed in Los Angeles and 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 $112,300, Maximum Salary $142,430

San Francisco, CA:
Minimum Salary $117,200, Maximum Salary $148,622CO/FL/TX:
Minimum Salary $97,700, Maximum Salary $176,100IL/PA:
Minimum Salary $107,500, Maximum Salary $194,100MA/MD/VA/Washington, DC:
Minimum Salary $112,300 Maximum…