Overview In this role you independently review communications with the public for compliance with FINRA, SEC, MSRB and SIPC rules. You mentor staff, monitor quality and timeliness, and provide training and guidance. You conduct complex reviews, respond to inquiries, and stay current on regulatory changes that affect advertising and securities marketing. You collaborate across teams to support investor protection and regulatory compliance at FINRA.
Compensation / Benefits- health, dental and vision insurance
- 401(k) with company match
- tuition reimbursement
- commuter benefits
- wellness programs
- paid time off
Responsibilities- Review highly complex public communications submitted by firms for compliance with applicable rules and draft necessary revisions
- Provide written comments and guidance to bring materials into compliance
- Respond to inquiries by letters and calls regarding filing reviews and comments
- Mentor staff, provide coaching and ongoing training; monitor productivity and quality
- Participate in performance discussions and communicate regulatory information
- Answer questions from staff and external stakeholders including FINRA employees and firms
- Stay updated on changes in advertising rules and new securities products and marketing methods
- Assist in analysis of communications related to complaints or inquiries from the public, firms or regulators
- Collaborate with others to support FINRA's mission of investor protection and market integrity
- Perform special projects (e.g., reviewing prospectuses and websites) and assist in outreach materials and minutes of staff meetings
Key requirements- Bachelor's degree or equivalent experience; five years in related industry, or at least 1 year as Senior Analyst in Advertising Regulation
- Excellent oral and written communication skills
- Working knowledge of finance, securities, and broker-dealer marketing methods
- Thorough knowledge of FINRA, SEC, MSRB, and SIPC advertising rules
- Competency with desktop computers and Microsoft Word
- strong written communication
- mentoring and coaching
- collaboration and teamwork
- analytical thinking
- FINRA/SEC/MSRB/SIPC rule knowledge
- Microsoft Word
