Senior Communications Compliance Analyst, Advertising Regulation

4 weeks ago

New York, United States finra Full time

FINRA is dedicated to protecting investors and ensuring the integrity of America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations. We have an exciting opportunity for a Senior Communications Compliance Analyst, Advertising Regulation:

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.

FINRA is hiring a Senior Analyst for our Advertising Regulation group.

The ideal candidate holds a Bachelor's degree, understands various types of securities and broker-dealer services, and has a thorough knowledge of FINRA, SEC, MSRB, and SIPC rules governing advertising.

With limited supervision and guidance, as needed, reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations.

Essential Job Functions:

  • Reviews a full workload consisting of 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.
  • Analyzes and reviews complex filing submissions and investment products.
  • Responds to letters and telephone inquiries regarding filing reviews and comments.
  • Attends weekly and monthly staff meetings.
  • Responds to general telephone inquiries from firms, attorneys, advertising agencies, FINRA District Offices and regulatory agencies.
  • Completes the Advertising Regulation Training Program and demonstrates knowledge acquired by successful application of the concepts covered by the training in the review process.
  • 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 investigators in analysis of sales material received as a complaint or inquiry from the public, firms, district offices or other regulatory organizations.

​

Other Responsibilities

  • Performs special projects at the request of the Vice President, directors, 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.
  • Assists in the preparation of staff meeting minutes.

Education/Experience

  • Bachelor's degree plus four years of related industry experience, or equivalent business experience; or successful completion of at least two years as an Advertising Regulation Department Analyst.
  • Academic courses or work experience showing successful use of analytical skills preferred.
  • 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 preferred.
  • Competency with desktop computers and Microsoft Word.

Work Conditions

Work is normally performed in an office environment. Occasional travel may be required. 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 of $78,900, Maximum Salary $146,900

Washington, DC: Minimum Salary $78,900, Maximum Salary $140,800

Colorado/Hawaii: Minimum Salary $68,500, Maximum Salary $122,300
New York, NY: Minimum Salary $82,200, Maximum Salary $146,900

Washington State: Minimum Salary $68,500, Maximum Salary $140,800

#LI-Hybrid

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