Associate Principal Analyst, Advertising Regulation

Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring work quality, quantity and timeliness, by providing training and communicating information. Conducts complex reviews and spot-checks on an as-needed basis.

Essential Job Functions:

• Reviews a full workload consisting of highly complex communications with the public including retail and institutional sales material submitted by firms pursuant to the filings review program; provides written comments on whether this material complies with applicable rules; and, provides revisions necessary to bring the sales material into compliance.
• Responds to letters and telephone inquiries regarding filing reviews and comments.
• Helps mentor sta...