Principal Analyst, Advertising Regulation

FINRA

. Independently conduct complex analyses of FINRA firms' communications with the public .

Posted 10/13/2026full-timeUnited StatesLead💰 $94,500 - $211,400 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates strong analytical and organizational skills with the ability to conduct complex assessments and communicate regulatory information effectively. Proficient in collaborating with teams and providing training while ensuring compliance with FINRA, SEC, MSRB, and SIPC regulations.

Highest-signal resume keywords

FINRA Rules KnowledgeAnalytical SkillsOral And Written CommunicationTeam CollaborationSecurities And Broker-Dealer Services Knowledge

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Complex AnalysisRoutine AssessmentsDocument WritingPerformance FeedbackRegulatory ComplianceAnalytical ThoroughnessWorkflow MonitoringSpecial Projects AssistanceOn-Site ReviewsSpot-Checks

Soft Skills

IndependenceTeamworkCoachingCommunicationProblem-Solving

Tools & Technologies

Microsoft WordDesktop Computers

Industry Keywords

FINRASECMSRBSIPCSecuritiesBroker-Dealer ServicesAdvertising RegulationsInvestment RestrictionsFinancial DisclosureCode Of Conduct

About the role

Key responsibilities & impact

Independently conduct complex analyses of FINRA firms' communications with the public
Conduct routine and complex assessments and analyses, including spot-checks
Participate in and coordinate joint communications evaluations with FINRA departments and other regulatory agencies
Document analyses and write correspondence
Participate in on-site reviews and examinations and assist in the disciplinary process
Assist the immediate manager with final sign-off of analyses for rule accuracy, analytical thoroughness, and appropriate dispositions
Provide staff training, coaching, advice, and performance feedback
Monitor workflow and task completion
Inform the manager about issues and practices that may lead to policy changes
Provide timely input on team member performance appraisals
Communicate regulatory and administrative information to team members
Answer questions from team members and external customers, including FINRA employees and firms
Assist with special projects involving new rules or interpretations, planning, procedures, administrative modifications, and corporate initiatives
Represent the department, including speaking at regulatory policy conferences and meetings
Perform other job-related special projects as necessary
Collaborate in person and virtually to support investor protection and market integrity

Requirements

What you’ll need

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
Excellent demonstrated oral and written communication skills
Knowledge of various types of securities and broker-dealer services and methods of marketing
In-depth knowledge of FINRA, SEC, MSRB and SIPC rules and interpretations governing advertising
Competency with desktop computers and Microsoft Word
Occasional travel may be required
Some extended hours may be required
FINRA employees must comply with Code of Conduct investment restrictions and financial disclosure requirements
Employees must disclose applicable brokerage accounts and authorize duplicate statements
Employees must comply with prohibited-company-list restrictions or obtain a written waiver
Employees must maintain disclosed securities accounts at firms providing an electronic feed to FINRA and move other accounts within three months of employment
Employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement
Employees must comply with the company's policy on nepotism

Benefits

Comp & perks

Discretionary bonus may be available in addition to base pay
Overtime pay for non-exempt employees
Comprehensive health, dental and vision insurance
Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life insurance
Short- and long-term disability insurance
Long-term care insurance
Business travel accident insurance
Legal insurance
Immediate participation and vesting in a 401(k) plan with company match
Eligibility for an additional FINRA-funded retirement contribution
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance programs
Wellness programs
15–25 days of paid time off
5 personal days
9 sick days
2 volunteer service days
Military leave
Jury duty leave
Bereavement leave
Voting and election official leave
Care of a family member leave
Childbirth and parental leave
9 paid holidays for full-time employees