Join FINRA as a Senior Analyst focused on compliance reviews of communications with the public. This hybrid role enhances mentoring and ensures adherence to advertising regulations.

As an Associate Principal Analyst at FINRA, you will review complex communications, ensuring compliance with FINRA, SEC, MSRB, and SIPC regulations. This role involves mentoring junior staff, conducting training, and maintaining high-quality work. You'll also address inquiries from firms and staff, providing vital insights into regulatory matters.

Key Responsibilities:
• Review diverse communications for compliance and provide written feedback
• Mentor staff through advice, coaching, and training initiatives
• Monitor workload for quality and timeliness of responses




• Respond to inquiries from firms and regulatory agencies
• Stay updated on changes in advertising regulations

Requirements:
• Bachelor's degree plus five years in the finance industry
• Solid analytical, communication, and regulatory knowledge
• Familiarity with various securities and marketing methods
• Proficiency in Microsoft Word and desktop computing
• Previous experience in a compliance role preferred

Utilize your compliance expertise and mentoring abilities to drive quality and regulatory adherence at FINRA.
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📌 Senior Analyst for Communications Review (Ontario)
🏢 finra
📍 Ontario