Principal Communication Compliance 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.

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:


* Work is normally performed in an office environment.


* 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 CA, Washington, DC, CO, HI, New Yor...