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
Solid 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.

📌 Associate Principal Analyst Hybrid Role Quinte West
🏢 finra
📍 Quinte West