FINRA seeks an Associate Principal Analyst to oversee compliance reviews in a hybrid work setting. This position involves mentoring and ensuring material adheres to advertising regulations.

In this role with FINRA, you will manage a complex workload of communications, reviewing materials submitted by firms for compliance with key regulations. Mentorship plays a significant role, as you will provide training and monitor the quality of junior staff’s work. Effective communication with both internal and external clients is essential for addressing inquiries and concerns.

Key Responsibilities:



• Conduct compliance reviews of complex communications • Provide mentorship and training to junior analysts • Assure quality and timeliness of team deliverables • Answer regulatory inquiries and provide support to staff • Analyze communications linked to public complaints and inquiries

Requirements: • Bachelor's degree and five years of relevant experience • Robust understanding of FINRA, SEC, and SIPC regulations • Excellent written and verbal communication skills • Experience in mentoring and coaching staff • Familiarity with Microsoft Office applications

Defend investor protections and uphold regulatory standards at FINRA. #J-18808-Ljbffr

📌 Associate Principal Analyst - Hybrid Role (Prince Edward County)
🏢 finra
📍 Prince Edward County