Overview In this role you drive analytical assessments of FINRA firms' public communications and support senior leadership in quality control and training. You will coordinate evaluations with other FINRA teams and regulators, document findings, and participate in on-site reviews and the disciplinary process. You'll help finalize analyses for rule applications and dispositions, while coaching teammates and sharing regulatory insights. The work sits at the intersection of policy, advertising rules, and market integrity, contributing to investor protection at scale.
Compensation / Benefits- comprehensive health, dental and vision insurance
- 401(k) with company match
- tuition reimbursement
- paid time off and personal/sick days
- volunteer service days
- discretionary bonus potential
Responsibilities- Conduct routine and complex assessments of FINRA firms' communications
- Coordinate joint evaluations with other FINRA departments and regulatory agencies
- Document analyses and write correspondence
- Participate in on-site reviews and examinations; assist in disciplinary processes
- Assist in final sign-off of analyses to ensure accuracy and propriety of dispositions
- Provide training, coaching and feedback to staff; monitor workflow
- Inform manager of new issues that may lead to policy changes
- Communicate regulatory information to team members and external customers
- Represent the department at regulatory policy conferences and meetings
- Assist in special projects including development of new rules or interpretations
- Participate in outreach and education related to FINRA policies
- Possible travel for on-site examinations and conferences
- Occasional extended hours as required
Key requirements- Bachelor's degree plus 5 years of related industry experience, or equivalent business experience, or 1 year as Associate Principal Analyst
- Ability to work independently and in groups
- Strong analytic and organizational skills
- Excellent oral and written communication skills
- Knowledge of securities and broker-dealer services and methods of marketing
- In-depth knowledge of FINRA, SEC, MSRB and SIPC rules and interpretations governing advertising
- Proficiency with desktop computers and Microsoft Word
- strong communication
- collaboration
- independence
- coaching/mentoring
- Knowledge of FINRA, SEC, MSRB and SIPC rules governing advertising
- Microsoft Word
