Principal Analyst, Advertising Regulation

Monitors work flow and task completion.Informs immediate manager of new issues and practices which may lead to policy changes.Provides timely input on team member performance appraisals.Communicates regulatory and administrative information to team members.Answers questions from team members and external customers including other FINRA employees and firms.Other Responsibilities:Assists immediate manager with special projects such as development of new rules or interpretations, planning, procedural or administrative modifications and corporate initiatives requiring department input and participation.Represents the Department, including speaking engagements, at regulatory policy public conferences and meetings.Other job related special projects as necessary.Education/Experience Requirements:Bachelor's degree plus 5 years of related industry experience, or equivalent business experience, or successful completion of at least 1 year as an Associate Principal Analyst.Demonstrated ability to work independently and in groups.Work experience showing successful use of analytic and organizational skills required.Excellent demonstrated oral and written communication skills.Knowledge of various types of securities and broker-dealer services and methods of marketing required.In-depth knowledge of FINRA, SEC, MSRB and SIPC rules and interpretations governing advertising required.Competency with desktop computers and Microsoft Word.Work Conditions:Work is normally performed in an office environment.Occasional travel may be required for participation in on-site examinations, provision of expert testimony, presentations at conferences and meetings with other regulators.Some extended hours may be required.For work that is performed in CA, Washington, DC, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. *Based on full-time scheduleImportant InformationFINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.You can read more about these restrictions here.As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.Search Firm RepresentativesPlease be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.FINRA is an Equal Opportunity and Affirmative Action EmployerAll qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.FINRA abides by the requirements of 41 CFR 60-741.5(a).