Communications Compliance Analyst, Advertising Regulation
With regular supervision and guidance, reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations.
Essential Job Functions:
- Reviews communications with the public including retail and institutional sales material submitted by firms pursuant to the filings review program, provides written comments on whether this material complies with applicable rules and provides revisions necessary to bring the sales material into compliance.
- Responds to letters and telephone inquiries regarding filing reviews and comments.
- Attends weekly and monthly staff meetings.
- Responds to general telephone inquiries from firms, attorneys, advertising agencies, FINRA District Offices and regulatory agencies.
- Completes the Advertising Regulation Training Program and demonstrates knowledge acquired by successful application of the concepts covered by the training in the review process.
- Learns and keeps up-to-date on changes in rules and regulations which impact advertising, new types of investment products and new techniques used to market securities products and services.
- Assists investigators in analysis of sales material received as a complaint or inquiry from the public, firms, district offices or other regulatory organizations.
- Performs special projects at the request of the Vice President, directors, or managers including but not limited to reviewing prospectuses and websites for requested information, reviewing statistical data for accuracy and reviewing correspondence.
Performs special projects at the request of the Vice President, directors, or managers including but not limited to reviewing prospectuses and websites for requested information, reviewing statistical data for accuracy and reviewing correspondence.
- Bachelor's degree plus two years of related industry experience, or equivalent business experience; or successful completion of at least 15 months as an Advertising Regulation Department Associate Analyst.
- Academic courses or work experience showing successful use of analytical skills preferred.
- Excellent demonstrated oral and written communication skills.
- Working knowledge of finance, various types of securities and broker-dealer services and methods of marketing required.
- Thorough knowledge of FINRA, SEC, MSRB, and SIPC rules governing advertising preferred.
- Competency with desktop computers and Microsoft Word.
- Writing Sample to be submitted with the application.
- Work is normally performed in an office environment.
- Occasional travel may be required.
- Extended hours may be required.
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.
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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.
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