FINRA
Financial Services
AssociatePrincipalAnalyst,AdvertisingRegulation
Neural analysis suggests this role is
optimal for Principal candidates.
“Associate Principal Analyst, Advertising Regulation at FINRA. Skills: Advertising Regulation, FINRA, SEC, MSRB, and SIPC rules, Communication. Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations.. Assists with mentoring staff by monitoring work quality, quantity and timeliness, by providing training and communicating information.”
What You'll Achieve.
Investor protection; Market integrity
Industry & Context.
Conducts complex reviews and spot-checks; Provides revisions necessary to bring the sales material into compliance.; Assists in analysis of communications used by firms received as a complaint or inquiry
Hybrid work environment, with defined in-person presence requirements., Occasional travel may be required., Extended hours may be required., FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures., Employees are required to disclose to FINRA all brokerage accounts., Accounts are subject to the Code’s investment and securities account restrictions., New employees must comply with investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver—by the date they begin employment., Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA., Must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment., Must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification., Comply with the company’s policy on nepotism.
What They're Looking For.
Must Have
Bachelor's degree plus five years of related industry experience, or equivalent business or successful completion of at least 1 year as a Senior Analyst in the Advertising Regulation Department., Excellent demonstrated oral and written communication skills., Working knowledge of finance, various types of securities and broker-dealer services and methods of marketing required., Thorough knowledge of FINRA, SEC, MSRB, and SIPC rules governing advertising required., Competency with desktop computers and Microsoft Word.
Nice to Have
Academic courses or work experience showing successful use of analytical skills preferred.
What You'll Do.
Independently reviews communications with the public submitted by firms for compliance with FINRA
MSRB and SIPC advertising rules and regulations.
Assists with mentoring staff by monitoring work quality
quantity and timeliness
by providing training and communicating information.
Conducts complex reviews and spot-checks on an as-needed basis.
Reviews a full workload consisting of highly complex communications with the public including retail and institutional sales material submitted by firms pursuant to the filings review provides written comments on whether this material complies with applicable and
provides revisions necessary to bring the sales material into compliance.
Responds to letters and telephone inquiries regarding filing reviews and comments.
Helps mentor staff members as needed and provides advice
coaching and on-going training
Assures quality and timeliness of staff member’s work by monitoring and reviewing outstanding and response-expected lists
and reviewing work and productivity.
Provides timely input on performance appraisals and communicates regulatory and administrative information.
Answers questions from staff and external customers including other FINRA employees and firms.
Responds to general telephone inquiries from firms
FINRA District Offices
and regulatory agencies.
Learns and keeps up-to-date on changes in rules and regulations which impact advertising
new types of investment products and new techniques used to market securities products and services.
Assists in analysis of communications used by firms received as a complaint or inquiry from the public
district offices or other regulatory organizations.
Performs special projects at the request of the Vice President
or managers including but not limited to reviewing prospectuses and websites for requested information
reviewing statistical data for accuracy and reviewing correspondence.
Assists in the preparation of related materials for Department outreach programs.
Prepares minutes of staff meetings.
How You'll Work.
Team & Collaboration
Assists with mentoring staff by monitoring work quality, quantity and timeliness, by providing training and communicating information.; Helps mentor staff members as needed and provides advice, coaching and on-going training; Assures quality and timeliness of staff member’s work by monitoring and reviewing outstanding and response-expected lists, and reviewing work and productivity.; Provides timely input on performance appraisals and communicates regulatory and administrative information.; Answers questions from staff and external customers including other FINRA employees and firms.; Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
Communication Scope
Excellent demonstrated oral and written communication skills; Written comments on compliance; Responding to letters and telephone inquiries; Communicates regulatory and administrative information; Answers questions from staff and external customers; Responds to general telephone inquiries
Full Job Description
Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring work quality, quantity and timeliness, by providing training and communicating information. Conducts complex reviews and spot-checks on an as-needed basis. **Essential Job Functions:** * Reviews a full workload consisting of highly complex communications with the public including retail and institutional sales material submitted by firms pursuant to the filings review program; provides written comments on whether this material complies with applicable rules; and, provides revisions necessary to bring the sales material into compliance. * Responds to letters and telephone inquiries regarding filing reviews and comments. * Helps mentor staff members as needed and provides advice, coaching and on-going training * Assures quality and timeliness of staff member’s work by monitoring and reviewing outstanding and response-expected lists, and reviewing work and productivity. * Provides timely input on performance appraisals and communicates regulatory and administrative information. . * Answers questions from staff and external customers including other FINRA employees and firms. * Responds to general telephone inquiries from firms, attorneys, advertising agencies, FINRA District Offices, and regulatory agencies. * Learns and keeps up-to-date on changes in rules and regulations which impact advertising, new types of investment products and new techniques used to market securities products and services. * Assists in analysis of communications used by firms received as a complaint or inquiry from the public, firms, district offices or other regulatory organizations. * Demonstration of FINRA’s values. * Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity. **Other Responsibilities:** * Performs special projects at t
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