Associate Principal Analyst, Advertising Regulation

Job description

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 staff members as needed and provides advice, coaching and on-going training - Assures quality and timeliness of staff member’s work by monitoring and reviewing outstanding and response-expected lists, and reviewing work and productivity. - Provides timely input on performance appraisals and communicates regulatory and administrative information. . - Answers questi...