Advertising Analyst - Rockville, MDBookmark This
DescriptionWe Work to Protect
Investors. Join our Team.
FINRA is seeking a well-qualified individual for our
Advertising Analyst opening in Rockville,
MD. To be considered for this position, please submit your
resume through our career site at www.finra.org/careers - no phone
Reviews communications with the public submitted by firms for
compliance with FINRA, SEC, MSRB and SIPC advertising rules and
Essential Job Functions:
- Reviews 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.
- Attends weekly and monthly staff meetings.
- Responds to general telephone inquiries from firms, attorneys,
advertising agencies, FINRA District Offices and regulatory
- Completes the Advertising Regulation Training Program and
demonstrates knowledge acquired by successful application of the
concepts covered by the training in the review process.
- Learns and keeps up-to-date on changes in rules and regulations
which impact advertising, new types of investment products and new
techniques used to market securities products and services.
- Assists investigators in analysis of sales material received as
a complaint or inquiry from the public, firms, district offices or
other regulatory organizations.
- Performs special projects at the request of the Vice President,
directors, or supervisors including but not limited to reviewing
prospectuses and websites for requested information, reviewing
statistical data for accuracy and reviewing correspondence.
- Assists in the preparation of related materials for Department
- Level 43 - Bachelor's degree plus one year ofrelated industry experience, or equivalent business experience; orsuccessful completion of at least 9 months as an AdvertisingRegulation Department Analyst-Trainee. Academic courses or workexperience showing successful use of analytical skills preferred.Excellent demonstrated oral and written communication skills.Working knowledge of finance, various types of securities andbroker-dealer services and methods of marketing required. Thoroughknowledge of FINRA, SEC, MSRB, and SIPC rules governing advertisingpreferred. Competency with desktop computers and MicrosoftWord.
- Level 44 - Bachelor's degree plus two years ofrelated industry experience, or equivalent business experience; orsuccessful completion of at least 15 months as an AdvertisingRegulation Department Associate Analyst. Academic courses or workexperience showing successful use of analytical skills preferred.Excellent demonstrated oral and written communication skills.Working knowledge of finance, various types of securities andbroker-dealer services and methods of marketing required. Thorough knowledge of FINRA, SEC, MSRB, and SIPC rules governingadvertising preferred. Competencywith desktop computers and Microsoft Word.
- Level 45 - Bachelor's degree plus four yearsof related industry experience, or equivalent business experience;or successful completion of at least two years as an AdvertisingRegulation Department Analyst. Academic courses or work experienceshowing successful use of analytical skills preferred. Excellent demonstrated oral and written communication skills.Working knowledge of finance, various types of securities andbroker-dealer services and methods of marketing required. Thoroughknowledge of FINRA, SEC, MSRB, and SIPC rules governing advertisingpreferred. Competency with desktop computers and MicrosoftWord.
Work is normally performed in an office environment. Occasionaltravel may be required. Extended hours may be required.
The information provided above has been designed to indicatethe general nature and level of work of the position. It is not acomprehensive inventory of all duties, responsibilities andqualifications required.
Please note: If the "Apply Now" button on a job board postingdoes not take you directly to the FINRA Careers site, enterwww.finra.org/careersinto your browser to reach our site directly.
FINRA strives to make our career site accessible to all users. Ifyou need a disability-related accommodation for completing theapplication process, please contact FINRA's accommodation help lineat 240.386.4865. Please note that this number is exclusively forinquiries regarding application accommodations.
In addition to a competitive salary, comprehensive health andwelfare benefits, and incentive compensation, FINRA offersimmediate participation and vesting in a 401(k) plan with companymatch. You will also be eligible for participation in an additionalFINRA-funded retirement contribution, our tuition reimbursementprogram and many other benefits. If you would like to contribute toour important mission and work collegially in a professionalorganization that values intelligence, integrity and initiative,consider a career with FINRA.
Please note: FINRA's Code of Conduct imposes restrictions on employees' investmentsand requires financial disclosures that are uniquely related to ourrole as a securities regulator. As standard practice, employeesmust also complete FINRA's Employee Confidentiality and InventionAssignment Agreement and comply with the company's policy onnepotism.
The Financial Industry Regulatory Authority (FINRA) is the largestindependent regulator for all securities firms doing business inthe United States. FINRA's mission is to protect America'sinvestors by making sure the securities industry operates fairlyand honestly. All told, FINRA oversees nearly 4,600 brokeragefirms, about 164,000 branch offices and approximately 632,000registered securities representatives.
FINRA's independent regulation plays a critical role in America'sfinancial system and touches virtually every aspect of thesecurities business-from registering and educating industryparticipants to examining securities firms; writing rules;enforcing those rules and the federal securities laws; informingand educating the investing public; providing trade reporting andother industry utilities; and administering the largest disputeresolution forum for investors and registered firms. We alsoperform market regulation under contract for the major U.S. stockmarkets, including the New York Stock Exchange, NYSE Arca, NYSEAmex, The NASDAQ Stock Market and the International SecuritiesExchange.
FINRA has approximately 3,000 employees and operates fromWashington, DC, and New York, NY, with 20 regional offices aroundthe country.
In today's fast-paced and complex global economy, FINRA is atrusted advocate for investors, dedicated to keeping the marketsfair and proactively addressing emerging regulatory issues beforethey harm investors or the markets.
Find out more about us and how we work-and view our currentopenings-at www.finra.org/careers.
Please be advised that FINRA is not seeking assistance or acceptingunsolicited resumes from search firms for this employmentopportunity. Regardless of past practice, a valid written agreementand task order must be in place before any resumes are submitted toFINRA. All resumes submitted by search firms to any employee atFINRA without a valid written agreement and task order in placewill be deemed the sole property of FINRA and no fee will be paidin the event that person is hired by FINRA.
FINRA is an Equal Opportunity and Affirmative ActionEmployer
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