See more Collapse

Principal Communications Compliance Analyst, Advertising Regulation

1 month ago

Woodbridge Township, United States finra Full time

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:

  • 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.

Other Responsibilities:

  • 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.

Education/Experience Requirements:

  • 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 Conditions:

  • 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.

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

We have other current jobs related to this field that you can find below

  • Senior Principal Analyst, MRTS Regulatory Compliance

    4 weeks ago

    Woodbridge, United States The Ladders Full time

    The Senior Regulatory Operations Analyst is an advanced-level professional position responsible for a wide range of tasks in support of various regulatory compliance functions in Market Regulation and Transparency Services (MRTS), including those related to managing conflicts of interest-related compliance issues and inquiries and maintaining department-wide...

  • Payroll Principal Fiscal Analyst

    3 weeks ago

    Woodbridge, United States Prince William County Government Full time

    **Introduction**: Prince William County Payroll Office is looking for a dynamic individual to serve as a Payroll Principal Fiscal Analyst. This position reports to the Payroll Manager and is part of the Payroll Team who collaborates with employees across the County to pay approximately 6000 employees biweekly. Prince William County expects respect,...

  • Marketing & Advertising Coordinator

    4 weeks ago

    Woodbridge, United States relentless management inc Full time

    Job DescriptionJob DescriptionBREAK UP THE MONOTONY AND DIVE RIGHT INTO AN EXCITING AND REWARDING NEW CAREER NOW! Our company's recent expansion throughout the area has allowed our marketing department to vastly expand. To fulfill our clients’ demands we are offering a handful of local residents a full-time Marketing & Advertising Coordinator position...

  • Marketing & Advertising Coordinator

    4 weeks ago

    Woodbridge, United States relentless management inc Full time

    Job DescriptionJob DescriptionBREAK UP THE MONOTONY AND DIVE RIGHT INTO AN EXCITING AND REWARDING NEW CAREER NOW! Our company's recent expansion throughout the area has allowed our marketing department to vastly expand. To fulfill our clients’ demands we are offering a handful of local residents a full-time Marketing & Advertising Coordinator position...

  • Compliance Specialist III

    4 weeks ago

    Woodbridge, United States Provident Financial Services Full time

    How would you like to join one of the most highly regarded financial institutions in New Jersey with deep roots in the community? Provident is a successful and highly regarded multi-billion dollar bank that continues to grow with branches in New Jersey, Eastern Pennsylvania and New York. Our longevity is a testament to our commitment to placing our...

  • Sr. Quality Compliance Analyst

    1 month ago

    Branchburg Township, United States AbbVie Full time

    Job DescriptionJob DescriptionCompany DescriptionAbbVie's mission is to discover and deliver innovative medicines and solutions that solve serious health issues today and address the medical challenges of tomorrow. We strive to have a remarkable impact on people's lives across several key therapeutic areas – immunology, oncology, neuroscience, and...

  • Senior Analyst, Public Offerings

    2 weeks ago

    Woodbridge Township, United States finra Full time

    The Senior Analyst in Corporate Financing Public Offerings is responsible for analyzing complex and high-profile public offering transactions. The Senior Analyst reviews and investigates proposed public offering underwriting arrangements to ensure compliance with FINRA and SEC rules as well as other securities laws. This is intermediate-level professional...

  • Principal Fiscal Analyst

    4 weeks ago

    Woodbridge, United States Prince William County Government Full time

    **Introduction**: Help build the future in Prince William County! The Prince William County Finance Department seeks an individual to perform complex analysis and management of debt issuance and capital project financing; along with financial analysis related to general financial and economic conditions. An objective will be to develop a deep understanding...

  • Community Development Analyst

    1 week ago

    Woodbridge, United States Prince William County Government Full time

    **Introduction**: Do you have a passion for helping others? Are you detailed oriented and well-organized? Do you have a strong commitment to providing excellent customer service? Then come join the Housing and Community Development Team! **About This Role**: This position is very fast paced and demanding; requires strong organizational skills, strong...

  • Magazine Publishing

    1 week ago

    Woodbridge, United States Wainscot Media Full time

    **MAGAZINE PUBLISHING & ADVERTISING SALES** **WOODBRIDGE, CT** Work from home in a local sales job with salary, benefits and excellent earning potential. Join Wainscot Media, a national publisher of community, regional and B2B magazines, for this outstanding opportunity to become the Advertising Director/Publisher of a local magazine in WOODBRIDGE, CT with...

  • Systems Analyst

    3 weeks ago

    Woodbridge Township, United States Plymouth Rock Assurance Full time

    Systems Analyst General Description:The Systems Analyst recommends approaches for the design of a business solution by interacting with Business Partners and System Engineers. By developing technical specifications, the Systems Analyst will clearly articulate an approach to meet Business Goals. In order to accomplish this goal they act as a liaison between...

  • NB1440 - BSA Analyst

    3 hours ago

    Woodbridge, United States Northfield Bank Full time

    Job DescriptionJob DescriptionNorthfield Bank is a full service bank with 39 branch locations throughout New Jersey; and Staten Island and Brooklyn, New York. With a history dating back to 1887, our growth continues through expansion of our presence in local communities and in our Product and Service offerings. Over 300 employees with diverse backgrounds and...

  • Marketing & Advertising Representative

    4 days ago

    Monroe Township, United States Stealth Marketing Group Full time

    Job DescriptionJob DescriptionObjective: Seeking a Marketing & Advertising Representative to strategically lead brand strategies and marketing communications for our major clientele in the telecommunications and entertainment industry. Our organization needs individuals with a passion for this industry to continuously foster our success. And of course, if...

  • Marketing & Advertising Representative

    3 days ago

    Monroe Township, United States Stealth Marketing Group Full time

    Job DescriptionJob DescriptionObjective: Seeking a Marketing & Advertising Representative to strategically lead brand strategies and marketing communications for our major clientele in the telecommunications and entertainment industry. Our organization needs individuals with a passion for this industry to continuously foster our success. And of course, if...

  • Behavior Analyst/assistant Behavior Analyst

    3 weeks ago

    Woodbridge, United States Kona Medical Consulting Full time

    Kona Medical Consulting is looking for Behavior Analyst and/or Assistant Behavior Analyst, working set-up is Hybrid (in-person and remote) in Woodbridge, VA 22407. **Responsibilities**: - Conduct behavioral assessments and develop individualized treatment plans for patients with autism spectrum disorder and other behavioral health conditions. - Provide...

  • Senior Traffic Analyst

    1 month ago

    Freehold Township, United States Monmouth County Full time

    PURPOSE: Under supervision of the Principal Traffic Analyst, the Senior Traffic Analyst directs the conduct of simple traffic survey and traffic investigations, analyzes data from such investigations and makes recommendations regarding same. The Senior Traffic Analysts will conduct site surveys of existing striping and ADA ramps for the County’s yearly...

  • Mergers & Acquisitions Analyst

    1 month ago

    Woodbridge Township, United States World Insurance Associates LLC Full time

    SummaryWorld Insurance Associates is a unique insurance organization offering top products and services from major providers, combined with attentive service from local agents.Founded in 2011, World is one of the fastest-growing insurance brokers in the U.S. with over 2,200 employees in over 260 offices across North America. We specialize in personal and...

  • Analyst- Senior Program Analyst

    2 weeks ago

    Woodbridge, United States Quadrant Full time

    Job ID: 24-02343 Candidates should take the time to read all the elements of this job advert carefully Please make your application promptly. Senior Program Analyst Fort Belvoir- HybridMUST: Experienced Program Analyst Must have an active secret clearance 8+ years of general experience 3+ years as a practicing analyst responsible for a functional area of an...

  • Principal Planner-current Planning

    2 weeks ago

    Woodbridge, United States Prince William County Government Full time

    **Introduction**: Prince William County is the 2nd largest county in the Commonwealth of Virginia, and is a growing, diverse, and dynamic community located within easy commuting distance from Washington, D.C. and the Northern Virginia area. Prince William County Government is an organization where elected leaders, staff, individuals, families and businesses...

  • Business Analyst

    5 days ago

    Woodbridge Township, United States Synechron Full time

    We are.At Synechron, we believe in the power of digital to transform businesses for the better. Our global consulting firm combines creativity and innovative technology to deliver industry-leading digital solutions. Synechron’s progressive technologies and optimization strategies span end-to-end Artificial Intelligence, Consulting, Digital, Cloud & DevOps,...