Principal Analyst, Advertising Regulation
$112,300–$112,300 year
HybridChicago, Illinois, United States or Boston, Massachusetts, United States
Job Summary
Conduct complex analyses of FINRA firms' communications with the public, including routine spot-checks and joint evaluations with other regulatory agencies. Independently assess rule applications, document findings, and write correspondence while assisting in on-site reviews and the disciplinary process. Provide quality control, training, and coaching to staff, monitor workflow, and offer timely input on performance appraisals. Represent the Department at regulatory policy conferences and participate in special projects involving new rule development or administrative modifications.
Required Qualifications
- Bachelor's degree
- 5 years of related industry experience
- equivalent business experience
- 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
- Excellent demonstrated oral and written communication skills
- Knowledge of various types of securities and broker-dealer services and methods of marketing
- In-depth knowledge of FINRA, SEC, MSRB and SIPC rules and interpretations governing advertising
- Competency with desktop computers and Microsoft Word
- Hybrid work environment with defined in-person presence requirements
- Occasional travel for participation in on-site examinations, provision of expert testimony, presentations at conferences and meetings with other regulators
- Ability to work some extended hours
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