Principal Analyst, Advertising Regulation

FINRA
Los Angeles, MD
Category Operations
Job Description
Independently conducts complex analyses of FINRA firms’ communications with the public, provides assistance and support to senior staff in areas of quality control, training and supervision, and represents the Department at regulatory policy public conferences and meetings.

Requirements

  • 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.

Benefits

  • Comprehensive health, dental and vision insurance
  • Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment insurance
  • Short- and long-term disability insurance
  • Long-term care insurance
  • Business travel accident insurance
  • 401(k) plan with company match
  • Additional FINRA-funded retirement contribution
  • Tuition reimbursement
  • Commuter benefits
  • Adoption assistance
  • Backup family care
  • Surrogacy benefits
  • Employee assistance
  • Wellness programs
  • Generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days
  • Two volunteer service days
  • Paid holidays
  • Military leave
  • Jury duty leave
  • Bereavement leave
  • Voting and election official leave
  • Care of a family member leave
  • Childbirth and parental leave
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