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 communicationsProvide mentorship and training to junior analystsAssure quality and timeliness of team deliverablesAnswer regulatory inquiries and provide support to staffAnalyze communications linked to public complaints and inquiriesRequirements:Bachelor's degree and five years of relevant experienceStrong understanding of FINRA, SEC, and SIPC regulationsExcellent written and verbal communication skillsExperience in mentoring and coaching staffFamiliarity with Microsoft Office applicationsDefend investor protections and uphold regulatory standards at FINRA.#J-18808-Ljbffr

📌 Associate Principal Analyst - Hybrid Role (Stirling-Rawdon)
🏢 finra
📍 Stirling-Rawdon