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 regulationsRequirements:
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 preferredUtilize your compliance expertise and mentoring abilities to drive quality and regulatory adherence at FINRA.#J-18808-Ljbffr

📌 Senior Analyst For Communications Review Quinte West
🏢 finra
📍 Quinte West