Associate Principal Analyst, Advertising Regulation - Philadelphia - finra

    finra
    finra Philadelphia

    1 day ago

    Full time
    Description

    Associate Principal Analyst, Advertising Regulation

    Job Description

    FINRA is seeking an Associate Principal Analyst to review communications with the public for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. This position will assist with mentoring staff by monitoring work quality, quantity and timeliness.

    Key Responsibilities:

    • Reviews complex communications with the public including retail and institutional sales material submitted by firms; provides written comments on whether this material complies with applicable rules;
    • Responds to letters and telephone inquiries regarding filing reviews and comments;
    • Helps mentor staff members as needed; provides advice coaching on-going training that assures quality timeliness of staff member's work;
    • Detailed Responsibilities:/

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