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 feedbackMentor staff through advice, coaching,
and training initiativesMonitor workload for quality and timeliness of responsesRespond to inquiries from firms and regulatory agenciesStay updated on changes in advertising regulationsRequirements:Bachelor's degree plus five years in the finance industryStrong analytical, communication, and regulatory knowledgeFamiliarity with various securities and marketing methodsProficiency in Microsoft Word and desktop computingPrevious experience in a compliance role preferredUtilize your compliance expertise and mentoring abilities to drive quality and regulatory adherence at FINRA.#J-18808-Ljbffr