10 дней назад
Principal Analyst, Advertising Regulation
112 300 - 202 500$
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Principal Analyst, Advertising Regulation (Securities Compliance): Conducting complex analyses of FINRA firms’ communications with the public with an accent on advertising rules, regulatory examinations, and quality control. Focus on reviewing securities communications, coordinating evaluations with regulators, applying FINRA and SEC requirements, and supporting training and supervision.
Location: Rockville, Maryland, United States; hybrid work with defined in-person presence requirements
Salary: $112,300–$202,500 annually for work performed in Maryland, including Rockville
Company
is a securities regulator focused on investor protection and market integrity.
What you will do
- Conduct routine, complex, and spot-check analyses of firms’ communications with the public.
- Coordinate joint evaluations with departments and other regulatory agencies.
- Document analyses, prepare correspondence, and assist with disciplinary processes and on-site examinations.
- Support final quality-control sign-off by reviewing rule applications, analytic thoroughness, and proposed dispositions.
- Provide training, coaching, advice, and performance feedback to staff while monitoring workflow and task completion.
- Contribute to rule development, policy initiatives, public conferences, regulatory meetings, and other special projects.
Requirements
- Bachelor’s degree and five years of related industry experience, equivalent business experience, or at least one year as an Associate Principal Analyst.
- Experience applying analytical and organizational skills independently and collaboratively.
- Excellent oral and written communication skills.
- Knowledge of securities, broker-dealer services, and marketing methods.
- In-depth knowledge of , SEC, MSRB, and SIPC advertising rules and interpretations.
- Competency with desktop computers and Microsoft Word.
Culture & Benefits
- Hybrid collaboration in support of investor protection and market integrity.
- Health, dental, vision, life, disability, long-term care, legal, and business travel insurance.
- 401(k) plan with company match and eligibility for an additional -funded retirement contribution.
- Paid time off, personal and sick days, volunteer days, paid holidays, and parental and other paid leave.
- Tuition reimbursement, commuter benefits, backup family care, adoption and surrogacy assistance, employee assistance, and wellness programs.
- Occasional travel, extended hours, and compliance with investment-account and financial-disclosure restrictions are required as applicable.
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