This job listing has expired and the position may no longer be open for hire.

Principal Analyst, Advertising Regulation at FINRA in Rockville, Maryland

Posted in Admin - Clerical 30+ days ago.

Type: Full-Time





Job Description:

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.

To be considered for this position, please submit an application.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.

Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. 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, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.





More jobs in Rockville, Maryland

Other
about 3 hours ago

Mid-Atlantic Permanente Medical Group
Information Technology
about 3 hours ago

FINRA
General Business
about 4 hours ago

FINRA
More jobs in Admin - Clerical

Admin - Clerical
37 minutes ago

HomeTeam Pest Defense, Inc.
$45,000.00 - $60,000.00 per year
Admin - Clerical
30+ days ago

Public Health Foundation Enterprises, In
$21.81 per hour
Admin - Clerical
30+ days ago

HomeTeam Pest Defense, Inc.
$45,000.00 - $60,000.00 per year