3 дня назад
Senior Analyst, Advertising Regulation
83 300 - 148 600$
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Senior Analyst, Advertising Regulation (Financial Regulation): Reviewing firms’ retail and institutional sales communications for compliance with FINRA, SEC, MSRB, and SIPC advertising rules with an accent on complex filings, investment products, and regulatory analysis. Focus on writing compliance comments, analyzing sales material, tracking changes in advertising regulations, and supporting investor protection and market integrity.
Location: Rockville, Maryland, United States; hybrid work environment with defined in-person presence requirements
Salary for Maryland: $83,300–$148,600 annually, depending on location, skills, experience, education, and market considerations. Discretionary bonus may also be available.
Company
is a securities regulator focused on investor protection and market integrity.
What you will do
- Review retail and institutional communications submitted by firms for compliance with , SEC, MSRB, and SIPC advertising rules.
- Provide written comments and required revisions to bring sales material into compliance.
- Analyze complex filing submissions, investment products, prospectuses, websites, and statistical data.
- Respond to inquiries from firms, attorneys, advertising agencies, offices, regulators, and the public.
- Assist investigators with sales-material complaints and inquiries.
- Support outreach programs, staff meetings, and special projects while maintaining current regulatory knowledge.
Requirements
- Bachelor’s degree plus four years of related industry experience, equivalent business experience, or at least two years as an Advertising Regulation Department Analyst.
- Working knowledge of finance, securities, broker-dealer services, and methods for marketing securities products and services.
- Excellent oral and written communication skills and demonstrated analytical ability.
- Competency with desktop computers and Microsoft Word.
- Ability to complete the Advertising Regulation Training Program and apply the concepts in review work.
- Ability to work in a hybrid environment with defined in-person presence requirements in Rockville, Maryland.
Nice to have
- Thorough knowledge of , SEC, MSRB, and SIPC rules governing advertising.
- Academic coursework or work experience demonstrating strong analytical skills.
Culture & Benefits
- Collaboration is expected both in person and virtually in support of investor protection and market integrity.
- Health, dental, vision, life, disability, long-term care, legal, and business travel insurance options.
- Immediate participation and vesting in a 401(k) plan with company match, plus eligibility for an additional -funded retirement contribution.
- Tuition reimbursement, commuter benefits, wellness programs, backup family care, adoption assistance, and surrogacy benefits.
- Paid time off, personal and sick days, volunteer service days, paid holidays, and additional family and statutory leave.
- Occasional travel and extended hours may be required.
Hiring process
- Applications are accepted on an ongoing basis.
- Employment requires compliance with ’s Code of Conduct, including investment-account disclosures and securities restrictions.
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