6 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 (Financial Regulation): Conducting complex analyses of FINRA firms’ public communications and coordinating regulatory evaluations with other departments and agencies with an accent on securities advertising rules, quality control, and regulatory correspondence. Focus on reviewing rule applications, coaching analysts, supporting disciplinary processes, and developing policy-related projects.
Location: Hybrid role with defined in-person presence requirements in Rockville, Maryland, with additional eligible locations across the United States. Occasional travel is required for on-site examinations, expert testimony, conferences, and meetings with regulators.
Salary: $112,300–$202,500 annually in Rockville, MD; ranges vary by eligible U.S. location.
Company
is a securities regulator focused on investor protection and market integrity.
What you will do
- Conduct routine and complex analyses, assessments, and spot-checks of firms’ communications with the public.
- Coordinate joint evaluations with departments and other regulatory agencies.
- Document analyses, write correspondence, and assist with disciplinary processes and on-site examinations.
- Support quality control and final sign-off by reviewing rule application, analytic thoroughness, and recommended dispositions.
- Provide training, coaching, advice, and performance feedback to team members while monitoring workflow and task completion.
- Support regulatory policy projects, rule and interpretation development, conferences, and departmental initiatives.
Requirements
- Bachelor’s degree and at least five years of related industry experience, equivalent business experience, or at least one year as an Associate Principal Analyst.
- Demonstrated analytical, organizational, independent working, and collaboration skills.
- Excellent written and oral 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 an additional -funded retirement contribution.
- Tuition reimbursement, commuter benefits, wellness programs, family-care support, and adoption and surrogacy assistance.
- Paid time off, personal and sick days, volunteer service days, paid holidays, and parental and other statutory leave.
- Employees must comply with investment-account disclosure and securities-trading restrictions.
Hiring process
- Applications are accepted on an ongoing basis.
- Applicants must submit an application through the careers process.
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