Job Overview Independently reviews communications with the public submitted by firms, ensuring compliance with FINRA, SEC, MSRB, and SIPC advertising rules and regulations. Responsibilities Mentor staff by monitoring work quality, quantity, and timeliness, providing training and communication. Conduct complex reviews and spot‑checks as needed. Handle a full workload of highly complex retail and institutional sales material under the filings review program, provide written comments on compliance, and draft necessary revisions. Respond to letters and telephone inquiries regarding filing reviews and comments. Mentor staff, provide advice, coaching, and ongoing training. Ensure quality and timeliness by monitoring outstanding lists and reviewing productivity. Provide input on performance appraisals and communicate regulatory and administrative information. Answer questions from staff and external customers—including FINRA employees and firms. Handle general telephone inquiries from firms, attorneys, advertising agencies, FINRA District Offices, and regulatory agencies. Keep current on rule changes affecting advertising, new investment products, and emerging marketing techniques. Assist in analyzing communications received as complaints or inquiries from the public, firms, district offices, or other regulatory organizations. Perform special projects requested by the Vice President, directors, or managers, such as reviewing prospectuses, websites, statistical data, outreach materials, and staff meeting minutes. Qualifications Bachelor's degree plus five years of related industry experience, or equivalent business experience; or completion of at least one year as a Senior Analyst in the Advertising Regulation Department. Academic courses or work experience showing strong analytical skills (preferred). Excellent oral and written communication skills. Working knowledge of finance, securities, broker‑dealer services, and marketing methods. Thorough knowledge of FINRA, SEC, MSRB, and SIPC advertising rules. Competent with desktop computers and Microsoft Word. Work Conditions & Compensation Hybrid work environment with defined in‑person presence requirements; occasional travel and extended hours may be required. Salary ranges by location (minimum to maximum): Los Angeles, CA: $96,600 – $130,000 San Francisco, CA: $100,800 – $135,000 CO/FL/TX: $83,900 – $150,300 IL/PA: $92,400 – $165,300 MA/MD/VA/Washington, DC: $96,600 – $172,800 NY/NJ: $96,600 – $180,400 Benefits Eligibility for discretionary bonus in addition to base pay. Health, dental, and vision insurance. 401(k) plan with company match and additional retirement contributions. Tuition reimbursement, commuter benefits, and other wellness programs. Paid time off, sick days, military leave, jury duty leave, bereavement leave, voting leave, parental leave, and other leave options. Legal & Regulatory Requirements All employees must comply with FINRA’s Code of Conduct, investment restrictions, and disclosure obligations. Employees are required to disclose brokerage accounts and maintain them through firms that provide an electronic feed. Equal Opportunity Employer FINRA is an equal‑opportunity employer. All qualified applicants receive consideration for employment without regard to any legally protected category. #J-18808-Ljbffr
Associate Principal Analyst, Advertising Regulation • Rockville, MD, United States
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