- Conducts routine and complex assessments and analyses, including spot-checks, of FINRA firms' communications.
- Participates in and coordinates joint evaluations of communications with other FINRA departments and other regulatory agencies.
- Documents analyses and writes correspondence.
- As needed, participates with other FINRA staff in on-site reviews and examinations and assists in all aspects of the disciplinary process.
- Assists immediate manager in final sign-off of analyses to ensure accuracy of rule applications, thoroughness of analytic process, and propriety of suggested dispositions.
- Provides staff with training, coaching, advice and feedback on performance. Monitors work flow and task completion.
- Informs immediate manager of new issues and practices which may lead to policy changes.
- Provides timely input on team member performance appraisals.
- Communicates regulatory and administrative information to team members.
- Answers questions from team members and external customers including other FINRA employees and firms.
- Assists immediate manager with special projects such as development of new rules or interpretations, planning, procedural or administrative modifications and corporate initiatives requiring department input and participation.
- Represents the Department, including speaking engagements, at regulatory policy public conferences and meetings.
- Other job related special projects as necessary.
- Bachelor's degree plus 5 years of related industry experience, or equivalent business experience, or 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 required.
- Excellent demonstrated oral and written communication skills.
- Knowledge of various types of securities and broker-dealer services and methods of marketing required.
- In-depth knowledge of FINRA, SEC, MSRB and SIPC rules and interpretations governing advertising required.
- Competency with desktop computers and Microsoft Word.
- Work is normally performed in an office environment.
- Occasional travel may be required for participation in on-site examinations, provision of expert testimony, presentations at conferences and meetings with other regulators.
- Some extended hours may be required.
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Principal Communications Compliance Analyst, Advertising Regulation - Woodbridge Township, United States - finra
Description
Are you looking for purpose and meaning in your work? Does the idea of working for a regulator speak to your moral compass?As a not-for-profit entity, FINRA (Financial Industry Regulatory Authority) operates under the oversight of the SEC and sits at the nexus of broker-dealers, policymakers and investors. Our mission is investor protection and market integrity.
If this sounds intriguing, keep reading...
We're hiring a Principal Analyst in our Advertising Regulation group.
Independently conducts complex analyses of FINRA firms' communications with the public both independently of, and in conjunction with, other FINRA departments and other regulators. Provides assistance and support to Associate Director, Director, and Senior Director in the areas of quality control, training and supervision.
Essential Job Functions:
Other Responsibilities:
Education/Experience Requirements:
Work Conditions:
For work that is performed in CA, Washington, DC, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate's skill set, level of experience, education, and internal peer compensation comparisons.
California: Minimum Salary $106,400, Maximum Salary $200,200
Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800
Colorado/Hawaii: Minimum Salary $92,500, Maximum Salary $166,800
New York, NY: Minimum Salary $111,000, Maximum Salary $200,200
Washington State: Minimum Salary $92,500, Maximum Salary $191,800
#LI-Hybrid
