Senior Communications Compliance Analyst, Advertising Regulation

With limited supervision and guidance, as needed, reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. • Completes the Advertising Regulation Training Program and demonstrates knowledge acquired by successful application of the concepts covered by the training in the review process. • Assists investigators in analysis of sales material received as a complaint or inquiry from the public, firms, district offices or other regulatory organizations. 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. 2020 FINRA.